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Cetera Hires Former LPL Exec as a Community Financial Institution Director

Cetera, a network of independent broker-dealer firms, has hired Brian Neyland as an independent program manager servicing banks, credit unions and independent advisors in...

Former Broker Pleads Guilty to Fraud and Lying to the SEC

Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...

Edelman Financial Engines Appoints DOL Fiduciary Rule Architect Phyllis Borzi to...

Edelman Financial Engines, a registered investment advisor with $200 billion in client assets, has appointed Phyllis Borzi to its board of directors. Borzi, who...

SEC Releases Investor Testing Report on Proposed Form CRS Relationship Summary

To help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate has...

LPL Financial Adds Former Cetera Team to IBD and RIA Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Infinity Financial Partners to its broker-dealer and corporate registered investment advisor platforms. Infinity, which...

Mercer Advisors Acquires Beacon Wealth Management

Mercer Advisors Inc., a registered investment advisor backed by private equity firm Genstar Capital, has acquired Beacon Wealth Management, a boutique wealth management firm...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...

Former LPL Broker Sentenced to 20 Years for Stealing $1.8 Million...

3Sonya Camarco, a former broker at LPL Financial, was sentenced to 20 years in prison pleading guilty to diverting more than $1.8 million in...

HD Vest CEO to Resign in Two Weeks

HD Vest Financial Services, a tax-focused broker-dealer with $45 billion in total client assets, announced that Bob Oros is stepping down from his role...

LPL Recruits $800 Million Team from Signator

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seattle First Asset Management LLC to its broker-dealer and corporate registered investment advisor platforms....