Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Osaic to Pay $3M Over Mutual Fund Switches at Securities America
By Melanie WaddellThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
November 24, 2025
Cetera Confirms New Round of LayoffsA spokesperson characterized the firings as a "small workforce reduction" focused on streamlining operations.
November 21, 2025
Top Advisors Once Shunned Edward Jones. Now They Come Knocking.The firm has made major changes to lure million-dollar producers, recruiter Jason Henderson says.
November 19, 2025
11 Best & Worst Broker-Dealers: Q3 Earnings, 2025BD earnings in the quarter rose as much as 74% from a year ago.
November 19, 2025
LPL Takes Minority Stake in Private Advisor GroupLPL joins Merchant Investment Management as a minority owner of the financial services firm, alongside legacy shareholders.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.