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Former Merrill Lynch Advisor Launches Practice with LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, reported that financial advisor Peter Shunyia has joined the firm to launch his independent practice, Shunyia...

Former Wells Fargo Financial Advisor Joins LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Guy Rodgers to its broker-dealer, corporate registered investment advisor, and custodial platforms....

LPL Financial Recruits Former Morgan Stanley Advisor

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Douglas Chin to its broker-dealer, corporate registered investment advisor, and custodial platforms. Formerly...

LPL Financial Recruits Adviser Managing $260 Million

LPL Financial LLC, the nation's largest independent broker-dealer, has added Lindsey Rhea of Alia Wealth Partners to its broker-dealer, corporate registered investment advisor, and...

SEC Charges Former Adviser with Stealing $1 Million from Three Elderly...

The Securities and Exchange Commission has charged former investment adviser Naseem Mohammed Salamah with fraud after he allegedly stole at least $968,600 from three...

SEC Charges Former Raymond James Investment Advisor with Defrauding 100 Clients

The Securities and Exchange Commission has charged Michael F. Shillin with defrauding at least 100 investment advisory clients, many of whom were elderly, by...

LPL Financial Recruits Another Texas-Based Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Corpus Christi Financial Group to its broker-dealer, corporate registered investment advisor, and custodial platforms. Corpus...

SEC Bars Adviser Accused of Defrauding Clients and Pro Athletes

The Securities and Exchange Commission has barred investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with “repeatedly” defrauding and breaching his fiduciary...

SEC Obtains Final Judgment Against Adviser Accused of Defrauding Clients and...

The Securities and Exchange Commission has obtained a final judgment against investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with "repeatedly" defrauding...

LPL Financial Recruits $625 Million Texas-Based Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added TBT Financial Services to its broker-dealer, corporate registered investment advisor, and custodial platforms. The advisors...