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ADISA Names 2020 Board of Directors

The Alternative & Direct Investment Securities Association (ADISA), a trade association representing the alternative and direct investment space, announced the 2020 directors for its...

Securities America Nabs $560 Million Hybrid

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Goldstein & Associates, an independent wealth management firm...

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...

Securities America Launches Super OSJ With Former SA Stone Wealth Management...

Securities America, a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has partnered with wealth management industry veteran David Pintaric to launch his...

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...

Massachusetts Moves Forward with State Fiduciary Standard

Massachusetts Secretary of the Commonwealth William Galvin, the state’s chief securities regulator, has signed off on new regulations that would impose a uniform fiduciary...

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...

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors

The Securities and Exchange Commission has charged Brett Pittsenbargar, a Texas-based external sales agent for Woodbridge Group of Companies LLC, and his wholly-owned alter...