Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Advisor Linked to $132M Arb Award Has Left the Firm
By Dinah Wisenberg BrinArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 11, 2025
Stifel Hit With Suit Over Excessive 401(k) Plan Fees, Fund OptionsEmployees say the average fee of $79 is 182% higher than that of comparable retirement plans.
July 08, 2025
Goldman Hires Former UK Prime Minister SunakSunak, who will serve as a senior advisor, previously worked at the bank as an intern and analyst.
July 07, 2025
JPMorgan to Cut Another 88 Jobs in Jersey CityThe banking giant says it's looking to "redeploy" affected employees.
July 02, 2025
Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex SplitReports of a surprise $12 billion exodus are inaccurate, Osaic wealth exec Greg Cornick says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 27, 2025
$1.1B UBS Team Moves to RBC WealthThe nine-member Centennial Wealth Management Group joins a new branch office in suburban New York.