Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Launches AI Operations Agent
By John ManganaroDubbed Rai, the tech uses natural language processing and generative AI to support advisors' daily work.
January 23, 2026
Goldman Sachs Boosts CEO David Solomon's Pay to $47MThe figure tops the $43 million awarded to JPMorgan CEO Jamie Dimon for 2025.
January 23, 2026
New Indie Contractor Rule Lands at OMBFSI, which has been battling Labor's 2024 rule in court, said the group is "encouraged" that Labor has initiated new rulemaking.
January 23, 2026
In Trump v. Dimon, Years of Strain Culminate in $5B SuitTrump says Dimon personally locked him out of the U.S. financial industry after he left the White House in 2021.
January 22, 2026
Trump Sues JPMorgan for $5B Over Debanking ClaimsBeyond closing accounts, the bank placed the president and family members on a wealth management "blacklist," the complaint says.
January 21, 2026
Lawsuit Says United Planners, Advisor Steered Retirees to High-Risk InvestmentsThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 20, 2026
$1B Team Departs Raymond JamesRegulatory filings show the firm, led by Benjamin Cohen as managing partner, will custody with Schwab and Fidelity.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.