Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Acquire Mariner's $31B Advisor Network
By Dinah Wisenberg BrinLPL-affiliated Mariner Advisor Network supports 367 advisors, including hybrid pros who will shift to Private Advisor Group's hybrid RIA.
April 07, 2026
Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRAPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.
April 03, 2026
Ex-Edward Jones Advisor Pleads Guilty in Nearly $10M Fraud CaseEijroghene Okuma siphoned funds from an elderly client over three years, prosecutors say.
April 03, 2026
Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRAThe exchanges involved variable annuities tied to contracts with guaranteed lifetime withdrawal benefit riders, FINRA's order states.
April 01, 2026
Driver Crashes Into Edward Jones Building in South CarolinaA person was arrested Tuesday night after driving into the building in North Augusta, according to a local news report.
April 01, 2026
Ex-Ameriprise Client Files Class Action Over Data IncidentA lawsuit contends that a cybercriminal group compromised clients' sensitive information.
March 31, 2026
Cetera Taps Zocks' AI Assistant for AdvisorsThe firm's financial professionals can now automate administrative, meeting and client onboading tasks.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.