Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Hits First Horizon With $325,000 Reg BI Fine
By Melanie WaddellThe charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.
September 10, 2024
Inside Edward Jones' Evolving Wealth StrategyA healthy culture is driving tech adoption and planning-first service at the firm, says Lena Haas.
September 05, 2024
A $25 Vanguard Fee Glitch Is Now FixedVanguard says it has refunded customers who were mistakenly charged a new service fee.
September 04, 2024
LPL to Buy The Investment CenterThe broker-dealer and RIA has about 240 advisors who work with roughly $9 billion of client assets.
September 03, 2024
Raymond James to Pay Nearly $2M for Failure to Report Complaints, Mutual Fund TransactionsThe firm failed to timely disclose about 450 client complaints, according to FINRA.
August 30, 2024
Merrill Fined $3M Over 'Deficient' Trade SurveillanceMerrill relied on third-party automated systems that were insufficient to monitor for manipulative trades, FINRA says.
August 28, 2024
Osaic Makes High-Level ChangesTwo executives, including Dimple Shah, will have expanded roles, the firm's CEO said in an internal memo.
August 23, 2024
Cash Sweep Clients 'Were Paid Peanuts': Ex-SEC CommissionerFormer SEC Commissoner Robert Jackson has partnered with a law firm to help underpaid brokerage customers.