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Massachusetts Charges Two Advisers for Making Unsuitable Energy Investments

The Massachusetts Securities Division has charged two investment adviser representatives and their firm for allegedly overconcentrating more than 250 client accounts in what it...

Securities America Recruits Former Questar Super-OSJ

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added the Lanzetta Group, a Super-OSJ group with approximately...

SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms...

The Securities and Exchange Commission has settled charges against 79 investment advisers that will return more than $125 million to clients, with a substantial...

Mercer Advisors AUM Tops $15 Billion with Latest Acquisition

Mercer Global Advisors Inc., a national registered investment advisor, has acquired Confluence Financial Advisors LLC, a comprehensive wealth management firm located in Boulder, Colorado...

Woodbury Adds 400 Questar Financial Advisors With $12.2 Billion In Assets

Woodbury Financial Services, an independent wealth management firm within the Advisor Group network, has recruited 400 financial advisors with $12.2 billion in assets under...

SEC Obtains $1.1 Million Judgment Against Former Broker

An Ohio federal court entered a consent judgment against John Gregory Schmidt, a former registered representative of Wells Fargo Advisors Financial Network and Stifel,...

LPL Adds Former Wells Fargo Advisor to Existing Firm Gladstone

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Breandan Kelly has joined the company from Wells Fargo Advisors, and will...

Cetera Adds Teacher-Founded Credit Union to Platform

Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform.   Rogue is a not-for-profit, cooperative...

FINRA Fines Former Ameriprise Broker for Allegedly Impersonating Clients

The Financial Industry Regulatory Authority has suspended and fined a former Ameriprise broker for allegedly impersonating six customers during telephone calls made to Ameriprise's...

LPL Financial Adds Three Former Ameriprise Financial Advisors to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Michael Bonevento, James Costabile and Craig Laday to its broker-dealer and corporate...