Broker dealers

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.

Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.

In the year ahead, private equity, exchange traded funds and tax-loss harvesting promise to be top priorities for advisors leading the pack.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Lack of freedom and limited investment choices may be driving advisors at broker-dealers to leave their firms this year.

We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions in the last year.

From trending independence to the rise in AI in wealth management, these stories and series dove deep on issues of utmost importance to financial advisors in 2024.

Brokers from 15 firms have been suspended, fined and sometimes — but rarely — fired in a sweep that stretches back to 2022.