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LPL Financial Recruits Fee-Only Advisor with $1.1 Billion in Client Assets

LPL Financial LLC, a retail investment advisory firm and independent broker-dealer, has recruited financial advisor Peter Heilbron to its corporate registered investment advisor platform...

HighTower Expands Executive Team with Three New Hires

HighTower, one of the nation's largest registered investment advisory firms, has expanded its corporate team with three new hires: Abby Salameh as chief marketing...

LPL Financial Recruits Credit Union from CUSO

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Bay Federal Credit Union’s investment program to its broker-dealer and corporate registered investment advisor...

Secretary Acosta Says DOL Will Release New Fiduciary Rule in Conjunction...

Labor Secretary Alexander Acosta told the House Education and Labor Committee on Wednesday that the Department of Labor is planning to revive its fiduciary...

Former $6 Billion Morgan Stanley Team Goes Indie

Wealth advisor Jason Fertitta and his team have launched an independent wealth management firm called Americana Partners LLC and have partnered with Dynasty Financial...

Capitol Securities Recruits Former Stifel Team

Capitol Securities Management Inc., privately owned regional brokerage and investment advisory firm with approximately $5 billion in client assets, has added Knobel Investments based...

LPL Financial Adds Former Morgan Stanley Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Pete Babilla has joined existing LPL firm HighPoint Planning Partners. Babilla joins...

FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

The Financial Industry Regulatory Authority has suspended and fined James Bashaw, a former LPL Financial broker, for borrowing approximately $200,000 from an LPL customer...

Ladenburg Names Veteran Executive to Senior Vice President of Enterprise Services

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has appointed veteran industry operations and technology executive David Ballard to the...

Massachusetts Charges Adviser Over Failed Medical Marijuana Scheme

The Massachusetts Securities Division has charged Frederick V. McDonald Jr., a Massachusetts investment adviser representative, for his alleged role in a failed medical marijuana...