Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman Rakes In Record Wealth Revenue
By Denise WeeTotal wealth management client assets stood at around $1.6 trillion at year-end.
January 14, 2025
Ex-Intern Waged Smear Campaign Against Raymond James, Suit AllegesPhony email campaigns suggested two employees were convicted rapists with neo-Nazi ties, the firm's defamation suit says.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
January 03, 2025
JP Morgan Loses $39.7M Arbitration Against Barred BrokerThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
December 16, 2024
When Disaster Strikes, Raymond James Gets to (Volunteer) WorkEmployees “were literally ripping out [soaked] drywall” after Hurricane Helene, Private Client Group president Tash Elwyn says.
December 12, 2024
Meet the 2024 Luminaries WinnersThe honorees were acknowledged on stage Wednesday at the Fontainebleau Las Vegas.
November 18, 2024
LPL Begins Taking in $60B in Prudential Wealth Advisor AssetsPru plans to shift 2,800 financial professionals to the LPL platform from a Fidelity unit's systems.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.