Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Competition Is 'Fierce,' Osaic President Says
By Melanie WaddellShannon Reid is watching the surge in independent recruiting and helping advisors deal with the rapid change brought on by AI.
October 12, 2026
Ex-LPL Rep Lost Client Money in Outside Investment: FINRAThe regulator barred Buddy Dean Mason for failing to provide information on the allegations, which led to his firing.
October 08, 2026
Hightower Signature Wealth Adds $1B Synergy Capital SolutionsThe wealth management practice will gain access to expanded operational and investment capabilities.
October 02, 2026
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Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 01, 2026
Stifel Pays Another $30M Over Barred Broker's Structured Notes StrategyThe financial services firm has paid more in damages in disputes tied to Chuck Roberts' investment approach.
September 29, 2026
FINRA Bars Ex-LPL Rep for Taking $1.7M From ClientsRudy Anguiano transferred funds from two investors' accounts into his own company's bank account, an order states.
September 25, 2026
Texas Advisor Accused of Racism Seeks to Restore Her Case Against LPLLPL ended its affiliation with Eileen Cure in 2021 after allegations in a viral video; Cure says the BD harmed her reputation.
September 24, 2026
Ameriprise, Broker to Pay Edward Jones Nearly $4.8M in Trade-Secrets DisputeAfter being fired from Edward Jones, Cory Clem attempted to take trade secrets and solicit clients, a FINRA arb panel found.