Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fired Edward Jones Advisor Sentenced to 3 Years for Nearly $1M Fraud
By Dinah Wisenberg BrinJohn S. Winslow bought his widowed client flowers and chocolate, then used her money to buy luxuries, authorities said.
May 08, 2026
Robinhood Can Skip Sending Form CRS to Trump Account Holders: SECThe SEC issued no-action relief Tuesday; Robinhood will be the sole BD and initial trustee to Trump accounts.
May 06, 2026
FINRA Is Giving BDs a Heads-Up About ExamsBroker-dealers can also receive test findings earlier, officials with the regulator note on a recent podcast.
May 01, 2026
LPL Still Pushing to Keep 90% of Commonwealth Assets: CEOTotal assets jumped 30% year over year to $2.3 trillion in Q1, but recruited assets fell 55%.
May 01, 2026
Reverence Capital Closes $2B-Plus Osaic RecapitalizationThe transaction seeks to deliver liquidity to existing investors and fund Osaic's long-term growth.
April 30, 2026
FINRA Releases One-Year Progress Report on Rulebook RevampThe report details measures that have been finalized as well as those that are in the works.
April 28, 2026
LPL Rolls Out Military-Deployment Practice Support ProgramThe program aims to support advisors and their firms when they're deployed.
April 27, 2026
Ex-LPL Rep Suspended Over Outside Business ActivityJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.