Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Releases One-Year Progress Report on Rulebook Revamp
By Melanie WaddellThe report details measures that have been finalized as well as those that are in the works.
April 23, 2026
LPL: Phishing Breach Led to Unauthorized TransactionsLPL said it restored affected accounts to their original financial positions.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 21, 2026
Baird Adds $1B Team in IndianapolisThe three-person team was previously at Goelzer Investment Management in Carmel, Indiana.
April 20, 2026
Ameriprise Data Breach Affected Nearly 48,000Two lawsuits sparked by the March incident have been dropped, court records show.
April 20, 2026
Stifel Settles With Investors in Structured Notes CaseThe investors won a $133M arbitration award tied to barred broker Chuck A. Roberts' risky strategy.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 14, 2026
PRO
Why LPL's Mariner Advisor Network Acquisition Is a Big Deal"The line between hosting advisors and owning advisor networks is getting thinner," said Datos Insights' William Trout.