Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC Settlement
By Melanie WaddellThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
Edward Jones Saw Uptick in Senior Advisor Exits in 2025: ReportPossible drivers include retirement, changes at the firm and a desire to own their books, Muriel Consulting suggests.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 22, 2026
LPL's CEO Pay Topped $14.5M in 2025Steinmeier's compensation remains below the peer median and levels seen in the broader market, the broker-dealer says.
March 19, 2026
JPMorgan, Goldman Offer Hedge Funds Way to Short Private CreditThe banks have assembled baskets of listed companies with exposure to the $1.8 trillion space.
March 19, 2026
Goldman Sachs Takes $42.5M Minority Stake in GeoWealthGeoWealth's family office owner, The Globe Resources Group, retains majority ownership of the TAMP.