Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Free of Consent Orders for First Time in 15 Years
By Yizhu WangThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 02, 2026
FINRA Seeks to Revamp Controversial Arbitration RulesPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
March 02, 2026
11 Best & Worst Broker-Dealers: Q4 2025Earnings growth at firms in the financial sector hit 9.3%, up from the expected 6.4%.
March 02, 2026
FINRA Hits Goldman's Folio With $1.3M FineFolio "failed to conduct reasonable regular and rigorous reviews" of execution quality, according to FINRA.
February 27, 2026
Wescom Financial to Lay Off 71 in CaliforniaThe credit union, which uses LPL as a broker-dealer and clearing partner, will cut jobs starting April 21.
February 27, 2026
Financial Firms' Shares Walloped by More 'Cockroach' Credit Woes, AIThe combination delivered another bruising selloff in shares of banks and asset managers Friday.
February 27, 2026
NewEdge Adds $1B Ameriprise Team in New YorkLast month, the RIA nabbed a 24-person Ameriprise group with $1.4 billion in client assets in Tennessee.
February 27, 2026
Stifel Faces up to 19 More Claims Tied to Barred BrokerThe BD is also still fighting a cash-sweep lawsuit, according to its annual report.