Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Fined $1.1M Over AML, Other Failures: FINRA
By Melanie WaddellCetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 13, 2026
Citi to Cut About 1,000 Jobs This WeekThe bank is culling its ranks as part of a plan announced two years ago to eliminate 20,000 jobs.
January 12, 2026
FINRA Plans to Beef Up Fraud RulesThe regulator is seeking feedback on ways to modernize its regulations as scams rise.
January 08, 2026
3 Mega-RIAs Join Goldman Sachs Referral ProgramCreative Planning, Mercer and Wealth Enhancement Group are among the first to join.
January 07, 2026
FINRA Hits BD With $20K Fine Over Form CRS FailuresVSI Securities failed to disclose its disciplinary history on the form over a five-year period.
January 06, 2026
Cambridge Takes Minority Stake in AmeriFlex GroupThe investment is intended to accelerate the expansion of SuccessionFully, the hybrid RIA firm's single-source succession platform.
January 06, 2026
Stifel's Bills Tied to Barred Broker Keep GrowingThe firm is on the hook for nearly $200 million, with more settlements coming, over Chuck Roberts' risky recommendations.
January 05, 2026
FINRA Fines, Suspends Ex-Osaic Rep Fired Over LoansRonald Ray Botello borrowed $173,000 from two senior clients without firm approval, the order states.