Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones to Pay $17M Over Front-Load Commissions
By Melanie WaddellThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
December 12, 2024
Meet the 2024 Luminaries WinnersThe honorees were acknowledged on stage Wednesday at the Fontainebleau Las Vegas.
December 09, 2024
Wealth Enhancement Group to Break From LPLAbout 10% of WEG’s nearly $97 billion in client assets are currently with the independent broker-dealer.
December 09, 2024
LPL Reaches $12M Settlement With Fired CEOThe deal allows Dan Arnold, who was terminated for cause, to keep about a third of his stock options.
December 04, 2024
Raymond James Sets CEO Transition DatePaul Reilly will step down from his CEO responsibilities Feb. 20, with Paul Shoukry taking over.
November 22, 2024
Best & Worst Wealth Firms for Digital Experience: J.D. Power, 2024Transactional capabilities and modern design aesthetics are not enough to satisfy clients, the research group finds.
November 20, 2024
Kentucky Advisor Accused of Bilking 73-Year-Old ClientDaniel Deno, a bank advisor registered with LPL, was jailed and charged with theft and fraud.
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.