Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Names New Chief of Indie Channel
By Janet LevauxThe announcement follows Shannon Reid's departure to Osaic in December.
March 18, 2026
Best & Worst Wealth Management Firms Ranked by Investors: JD Power, 2026Trust in new fintech brands rose, but so did young, affluent DIY investors' desire for professional advice.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 12, 2026
Ex-Advisor Accused of Racism in TikTok Video Must Pay LPL Over $820KEileen Cure had sued the BD for $95 million after it ended an affiliation with her.
March 11, 2026
Goldman, Citi Tell Staff to Exit Dubai Offices Amid Iran ThreatsThe latest developments come as Iran continues to strike targets across the Middle East.
March 09, 2026
Wall Street Firms Offer UAE Staff Option to Relocate TemporarilyGoldman Sachs, Morgan Stanley and Citigroup are among those that have given employees this option due to attacks.