Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client Funds
By Melanie WaddellJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.
October 20, 2025
Dynasty and Diamond Roll Out Transition Help for $1B Advisor TeamsThe Breakaway Investment Banking Initiative is intended to help elite teams decide on their next move.
October 17, 2025
Credit Union Hits LPL, Osaic With Client-Poaching SuitThe BDs orchestrated a scheme to steal information for 683 clients, the lawsuit alleges.
October 16, 2025
BofA, BNY Sued Over Alleged Ties to Epstein Sex-TraffickingClass-action lawyers accuse Bank of New York of processing $387 million in payments to women trafficked by the financier.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 14, 2025
6 Wealth Management M&A Trends to WatchDealmaking is on track to hit another record in 2025, MarshBerry reports.
October 10, 2025
Interactive Brokers Adds Advanced Tax Planning CapabilitiesTraders can now preview potential gains (or losses) before submitting orders and select specific lots to close.
October 07, 2025
Cetera Nabs $1.1B Commonwealth Team in New JerseyKing Financial Network is joining Cetera’s Summit Financial Networks community.