Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL CEO's Firing Catches Some by Surprise
By Melanie WaddellConsultant Chip Roame says LPL has done well under the leadership of Dan Arnold, who was fired for cause.
October 01, 2024
Schwab Nears Settlement in Antitrust Suit Over TD Ameritrade DealParties in the lawsuit told a judge they've reached a "settlement in principle."
October 01, 2024
Schwab CEO Bettinger to RetireBettinger steps down after 16 years leading the firm, to be replaced by President Rick Wurster.
September 30, 2024
Fidelity Sharply Cuts Mobile Deposit Limits After ScamScammers urged Fidelity customers to join a scam targeting mobile deposits into cash management accounts.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
September 26, 2024
Ex-Advisor Sues LPL, Citizens Bank & Trust Over Botched TransitionNathan Adams was punished for pursuing a job with LPL, which botched a background check, the complaint alleges.
September 24, 2024
Raymond James Cancels Women's Symposium Due to Hurricane ForecastThe forecasted path of Helene will bring the storm near Orlando, the site of the annual conference.
September 18, 2024
SEC Hits First Horizon With $325,000 Reg BI FineThe charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.