Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Aims to 'Get Into More Conversations' With Wirehouse, Regional Reps: CEO
By Dinah Wisenberg Brin"We continue to be the disproportionate winner in our traditional markets" for advisor recruiting, said Rich Steinmeier on the firm's latest earnings call.
July 28, 2026
Ex-Citigroup Managing Director Gets 30 Years for Sex CrimesEdward Gene Smith, a Harvard graduate who worked at several Wall Street firms, was sentenced Tuesday. He pleaded guilty seven months ago.
July 28, 2026
Will the SEC Scrap This Vague Texting Rule?The agency plans to issue proposals in October on which records that BDs and RIAs need to keep.
July 28, 2026
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias ClaimsA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 28, 2026
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRAThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 24, 2026
Ameriprise CEO: Some Advisor Firm Deals Look 'Crazy'Jim Cracchiolo described the overall business environment as "positive but dynamic" during the firm's recent earnings call.
July 24, 2026
Cetera Names Head of Tax-Focused TeamCraig Bartlett will take the helm of Cetera Financial Specialists within the broker-dealer's tax and accounting channel.
July 23, 2026
Why AI Helps Advisor Value: Stifel CEORecruiting remains very competitive, Ron Kruszwekski maintains, even as fears over the technology's effects have plagued the industry.