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LPL Financial Adds Former Altruist Executive to Management Team

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Pete Dorsey has joined the firm as executive vice president of institution services. Dorsey...

Vero Wealth Management Joins Linsco by LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Benjamin Link and Steve Sexton have joined LPL’s employee advisor model, Linsco...

Former LPL Broker Pleads Guilty to Fraud and Witness Tampering

James Kenneth Couture, a registered investment adviser and former LPL broker accused of stealing nearly $3 million from six clients, has pled guilty to...

SEC Charges Hudson Advisors and Lone Star Global Over Fund Fees

The Securities and Exchange Commission has charged two registered investment advisers, Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd., for including Hudson’s owner’s...

Atria’s Cadaret Grant Adds Former UBS Team with $600 Million in...

Cadaret Grant, an independent wealth management firm and subsidiary of Atria Wealth Solutions Inc., has recruited a team of former UBS financial professionals led...

Advisor Group’s SagePoint Financial Recruits Team with $203 Million in Client...

SagePoint Financial, an independent wealth management firm within the Advisor Group network, has added Brian Falconer and his team of 16 registered representatives to...

SEC Charges Broker-Dealer and Two Senior Executives over Unauthorized Securities Transactions

The Securities and Exchange Commission has charged broker-dealer Alpine Securities Corporation, its former chief executive officer Christopher Doubek, and its current chief operations officer...

LPL Financial Hires EVP of Corporate Strategy and New Ventures

LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Katelyn Shackleton as executive vice president of corporate strategy and new ventures. In her...

LPL Financial Reports 2Q22 Results, Decrease in Advisory and Brokerage Assets

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its second quarter 2022 financial...

Carson Group Hires Former LPL Exec as Chief Market Strategist

Carson Group, a financial services firm that manages $20 billion in assets, has hired Ryan Detrick as chief market strategist. In his new role,...

Sageview Hires Former Goldman Exec as Chief Operating Officer

SageView Advisory Group, an independent registered investment advisory firm, has hired Jorge Bernal as chief operating officer.In his new role, Bernal will oversee all...

LPL Financial to Buy $5 Billion Firm

LPL Financial LLC (Nasdaq: LPLA), the nation's largest independent broker-dealer, has agreed to purchase the private client group business of Boenning & Scattergood, a...

SEC Charges Former LPL Broker with Stealing $1.7 Million from Retail...

The Securities and Exchange Commission has charged Eric Hollifield of Winder, Georgia, with misappropriating at least $1.7 million from two advisory clients and one...

Advisor Group to Buy $40 Billion Independent Broker-Dealer

Advisor Group, one of the nation's largest networks of independent wealth management firms, has agreed to purchase American Portfolios Financial Services Inc., a full-service,...

LPL Financial Recruits Ex-Wells Fargo Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encore Capital Management to its broker-dealer and corporate registered investment advisor model. The team...

LPL Financial Launches New Program to Serve Affluent Market

LPL Financial LLC, the nation's largest independent broker-dealer, has launched the LPL Private Client Services Network, a new program to provide LPL-affiliated advisors access...

SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

The Securities and Exchange Commission filed a civil action in a Georgia district court against Michael Mooney, Britt Wright, and Penny Flippen in connection...

Schwab Subsidiaries to Pay $187 Million for Misleading Robo-Adviser Clients

The Securities and Exchange Commission has charged three Charles Schwab investment adviser subsidiaries for making "false and misleading statements" about the cash component of...

Grove Point Hires Former Cetera Exec as Senior Vice President of...

Grove Point Financial LLC, an independent broker-dealer and registered investment adviser platform, has hired 26-year industry veteran, Denise McGee, as senior vice president of...

Advisor Group’s SagePoint Adds $800 Million Team

SagePoint Financial, a wealth management firm within the Advisor Group network, has added IronBridge Wealth Counsel and its eight wealth advisors who oversee $800...