Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Spartan Capital Rep
By Melanie WaddellRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.
November 06, 2025
U.S. Firms Announce Most October Job Cuts in Over 20 YearsCompanies announced 153,074 job cuts last month, almost triple the number during the same month last year.
November 05, 2025
JPMorgan’s Billionaire Clients Want Sports Teams More Than Fine ArtSome 20% of 111 billionaire families served by the bank own controlling stakes in sports teams, up from 6% three years ago.
November 05, 2025
Wall Street Moves to Support Mamdani After NYC Mayoral Election Win"In some respects he's the left-wing version of Donald Trump," said former BlackRock executive Mark Kronfeld.
November 04, 2025
Citi’s Family Office Head to DepartFour regional heads now lead the private bank and report to Andy Sieg, who heads Citigroup’s broader wealth business.
October 31, 2025
LPL Reports 80% Commonwealth Retention So Far, Sticks to Higher TargetThe firm also said it's reducing fees and simplifying the pricing structure across its advisory platforms.
October 31, 2025
FINRA Bars Ex-Transamerica Rep Fired for Alleged Outside Business ActivityGeorge Ndifor Jing refused to provide documents and information requested by the regulator, according to the order.
October 27, 2025
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client FundsJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.