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Wentworth Buys $2.7 Billion Hybrid

Wentworth Management Services LLC, an independent broker-dealer holding company, has acquired Aurora Private Wealth, a Rockaway, New Jersey-based hybrid registered investment advisor/IBD firm that...

IFS Securities Shuts Down

IFS Securities, a broker-dealer based in Atlanta, has shut down after requesting that FINRA and the 25 states where it was licensed terminate its...

SEC Charges Longtime Broker with Defrauding Retail Investors

The Securities and Exchange Commission has charged a Connecticut investment adviser with allegedly misappropriating $560,000 from his advisory clients by selling fictitious financial products...

LPL Financial Recruits $550 Million Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Gatewood Wealth Solutions to its broker-dealer and corporate registered investment advisor platforms. The team...

Cetera Names New Chief Executive Officer

Cetera Financial Group, a network of independent financial advisor firms, has appointed Adam Antoniades as chief executive officer and member of the board of...

LPL Financial Recruits Former Ameriprise Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Canal View Financial Advisors to its broker-dealer and corporate registered investment advisor platforms. The...

LPL Adds Former FSC Securities Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited financial advisors Cris Arnold, David McIllwain, Charlotte Martin and Brenda Speer, who collectively oversee...

Ladenburg Discloses Complaints Against Subsidiary Broker-Dealer Over GPB Sales

Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, disclosed in its quarterly financial report that multiple arbitration claims and one...

LPL Financial Recruits Hybrid from Lincoln Financial

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

LPL Financial Recruits Former Woodbury Financial Duo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Don Petricic and Tom Phillips to its broker-dealer and corporate registered investment...