Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion Conspiracy
By Melanie WaddellChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
November 21, 2025
Top Advisors Once Shunned Edward Jones. Now They Come Knocking.The firm has made major changes to lure million-dollar producers, recruiter Jason Henderson says.
November 19, 2025
11 Best & Worst Broker-Dealers: Q3 Earnings, 2025BD earnings in the quarter rose as much as 74% from a year ago.
November 19, 2025
LPL Takes Minority Stake in Private Advisor GroupLPL joins Merchant Investment Management as a minority owner of the financial services firm, alongside legacy shareholders.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.
November 14, 2025
LPL Launches Cash Management Account With Banking, Investing FeaturesLPL says the account allows clients to manage uninvested funds more efficiently.