Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Fines Advisor Over Undisclosed Tax Consultancy Referral Fees
By Dinah Wisenberg BrinShuai Wang failed to timely and accurately inform Cambridge Investment Research about the fees, an order states.
June 11, 2026
PRO
Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes"It appears as though the inmates were running the asylum with respect to this product," a plaintiffs attorney says.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 05, 2026
Barred Oregon Advisor Pleads Guilty to $1.6M Investment FraudJeffrey Thomas Higgins, who defrauded at least 14 investors, faces up to five years in prison.
June 04, 2026
What the BD Industry Looks Like Now, in 6 ChartsThe number of reps rose for the fourth straight year as the number of firms continued to fall.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.
May 29, 2026
Retired Police Officer, Firefighter Seek Arrest of Barred AdvisorThe advisor stole nearly $1 million from them, the Oklahoma City first responders said.