Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Reorganize Employee Advisor Channel
By Jeff BermanThe shifts aim to bring more "leadership alignment" to Raymond James & Associates and Alex. Brown, the firm says.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.
July 03, 2023
Barred Broker Gets 8 Years in Prison for $1.9M Ponzi SchemeThe judge called Anthony Liddle's crimes "monstrous."
June 29, 2023
Fired Rep Says Wells Fargo Added Fake Investigations to His U5: LawsuitA Black advisor alleges Wells fired him, then amended his Form U5 when he reported discrimination.
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 28, 2023
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash TransactionsJames Iannazzo deposited and withdrew $568,440 in small increments to avoid bank reporting requirements, FINRA says.
June 28, 2023
Here's What a 'Trusted Contact' Is, and Isn't: FINRA ExecMany investors mistakenly think a trusted contact can trade in their account, Jim Wrona says.
June 28, 2023
Fired Wells Fargo Brokers File Age, Race Discrimination SuitThe plaintiffs alleged that they were fired for being white and in their 60s.