Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Files to Make Remote Inspections Permanent
By Melanie WaddellThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 05, 2026
Barred Oregon Advisor Pleads Guilty to $1.6M Investment FraudJeffrey Thomas Higgins, who defrauded at least 14 investors, faces up to five years in prison.
June 04, 2026
What the BD Industry Looks Like Now, in 6 ChartsThe number of reps rose for the fourth straight year as the number of firms continued to fall.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.
May 29, 2026
Retired Police Officer, Firefighter Seek Arrest of Barred AdvisorThe advisor stole nearly $1 million from them, the Oklahoma City first responders said.
May 29, 2026
Robinhood CFO Says States Seek to Copy Trump AccountsShiv Verma said states have approached the company about partnering on their own investment vehicles for newborns.
May 28, 2026
Epstein Files Reveal Long-Running Ties With One Wealth ManagerPaul Morris was part of the concierge team that shepherded Epstein's wealth at two of the world's largest banks.