Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Phishing Scam Snares an Ameriprise Advisor
By Dinah Wisenberg BrinThe breach potentially exposed nearly 600 clients' data, a state regulator warns.
December 16, 2025
Osaic Taps Ex-Raymond James Exec as PresidentShannon Reid will lead advisor recruiting, retention and engagement initiatives while partnering across the organization.
December 15, 2025
FINRA Fines Ex-Raymond James Rep for Taking, Altering Client InfoThe rep changed client contact information in Raymond James' system before leaving for Piper Sandler, FINRA states.
December 11, 2025
LPL-Commonwealth Story 'Isn't Finished': Cetera CEOLPL’s acquisition is officially on the books, but Mike Durbin says the dust is far from settled.
December 11, 2025
FINRA Bars Ex-Broker Fired by LPL for Accessing Former Client AccountsJennifer H. Ceterko also participated in account activity in those outside accounts, according to the regulator.
December 10, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 09, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.