Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Synovus Securities to Pay $315,000 Over E-Signatures
By Melanie WaddellThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
October 02, 2025
Phony Advisor Pleads Guilty to Defrauding 64 InvestorsThe 24-year-old falsely presented himself as an advisor and claimed to work with a real brokerage.
October 02, 2025
6 Big FINRA Moves in 2025FINRA is tweaking a number of rules, including those around office supervision and gifting.
September 30, 2025
$1.1B RBC Team Forms a Private Wealth Group at LPLThe three-member advisory team came together to form Lighthouse Private Wealth.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 25, 2025
$1.3B Northwestern Mutual Team Jumps to LPLThe team provides financial services to clients throughout New England and nationwide.
September 24, 2025
JPMorgan Adds Millionaire Wealth Offering to Dozens of BranchesJ.P. Morgan Private Client bankers are now in 53 branches in New York, Connecticut, Florida and Texas.
September 24, 2025
Schwab Seeks to Offer More Private-Firm Investments, CEO SaysSchwab wants to give its retail investors more opportunities to take stakes in private companies.