Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Inside Edward Jones' Evolving Wealth Strategy
By John ManganaroA healthy culture is driving tech adoption and planning-first service at the firm, says Lena Haas.
September 03, 2024
Raymond James to Pay Nearly $2M for Failure to Report Complaints, Mutual Fund TransactionsThe firm failed to timely disclose about 450 client complaints, according to FINRA.
August 30, 2024
Merrill Fined $3M Over 'Deficient' Trade SurveillanceMerrill relied on third-party automated systems that were insufficient to monitor for manipulative trades, FINRA says.
August 28, 2024
Osaic Makes High-Level ChangesTwo executives, including Dimple Shah, will have expanded roles, the firm's CEO said in an internal memo.
August 23, 2024
Cash Sweep Clients 'Were Paid Peanuts': Ex-SEC CommissionerFormer SEC Commissoner Robert Jackson has partnered with a law firm to help underpaid brokerage customers.
August 23, 2024
Barclays to Pay Nearly $1.3M Over Fingerprint FailuresBarclays did not fingerprint any of its non-registered associated persons based in foreign locations, FINRA said.
August 21, 2024
LPL Recruits Osaic Teams With $4BThe moves include over 30 financial advisors based in Lutherville, Maryland, and Berwyn, Pennsylvania.
August 20, 2024
10 Best Robo-Advisors: Q2 2024The robo industry has reached a mature phase, with over $1 trillion in assets, according to Condor Capital.