Also, LPL has scooped a second-generation high-net-worth practice from Osaic, while Ameriprise welcomes a father-son team ...

The year 2025 has been "a good year" for municipal securities regulation – a representative of one broker-dealer group said, ...

CFO Coreen Kraysler indicated “it wouldn't surprise me if you saw revenues from the broker-dealer in that quarter,” but none ...

Also, a Rhode Island-based UBS team hops to another wirehouse, and another LPL veteran has defected to Cetera in Connecticut.

NEW YORK, NY - January 6, 2026 (NEWMEDIAWIRE) - tZERO Group, Inc., a leading innovator in blockchain-powered multi-asset infrastructure, today announced in its first news release of 2026 that it is ...

Data is based on X-17 Focus reports filed with the U.S. Securities and Exchange Commission. A broker-dealer is a firm that buys and sells securities for itself or on behalf of customers. Only local ...

The Securities and Exchange Commission will review broker-dealers' process for resetting interest rates on variable-rate ...

Adam Prewett Named to Cambridge 2026 Signature Club - Recognition honors financial professionals for leadership and ...

The Netherlands-based digital bank Bunq filed its second U.S. charter application this week after successfully receiving a ...

GlobexUS Holdings Corp, parent of Horizon Globex GmbH and joint venture operator of the overseas Upstream Exchange, a MERJ Exchange Market Equity Stock Transfer, LLC, a full-service U.S. transfer ...

The collaboration combines Defiway’s transaction technology with DKK Digital’s VARA-licensed broker-dealer infrastructure.

LPL Financial LLC announced today that financial advisors Spencer W. Rand, CFP® and Michael J. Williams, CFP® of Rand, Williams & Associates, LLC have joined LPL Financial’s broker-dealer and ...