Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Suspends Ex-NY Life Rep Over Expense Reports
By Melanie WaddellThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 02, 2025
6 Big FINRA Moves in 2025FINRA is tweaking a number of rules, including those around office supervision and gifting.
September 30, 2025
$1.1B RBC Team Forms a Private Wealth Group at LPLThe three-member advisory team came together to form Lighthouse Private Wealth.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 25, 2025
$1.3B Northwestern Mutual Team Jumps to LPLThe team provides financial services to clients throughout New England and nationwide.
September 24, 2025
JPMorgan Adds Millionaire Wealth Offering to Dozens of BranchesJ.P. Morgan Private Client bankers are now in 53 branches in New York, Connecticut, Florida and Texas.
September 24, 2025
Schwab Seeks to Offer More Private-Firm Investments, CEO SaysSchwab wants to give its retail investors more opportunities to take stakes in private companies.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.