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Four Former UBS Advisors with $530 Million Go Indie with Backing...

Former UBS wealth advisors Steven Tenney, Joseph Powers, Helen Andreoli, and Jack Piper have partnered with Dynasty Financial Partners to launch an independent wealth...

SEC Charges San Diego-Based Investment Adviser with Running $7 Million Ponzi...

The Securities and Exchange Commission charged Christopher D. Dougherty and several entities he controlled with operating a Ponzi scheme that defrauded his investment advisory...

FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

The Financial Industry Regulatory Authority has suspended and fined James Bashaw, a former LPL Financial broker, for borrowing approximately $200,000 from an LPL customer...

Securities America Recruits Team with $200 Million in Client Assets

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited a group of six advisors with more...

Securities America Advisors Can Now Use Instagram for Social Media Marketing

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has provided its affiliated advisors with a compliant process to...

LPL Financial Hires EVP to Focus on Advisor Relationships

LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Angela Xavier executive vice president of independent advisor services business consulting. In her new...

FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable...

The Financial Industry Regulatory Authority has suspended and fined a former LPL Financial broker for soliciting investors to purchase an unauthorized variable life insurance...

KMS Financial Services Names New Chief Executive Officer

KMS Financial Services Inc., an independent advisory and brokerage firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has named Erinn...

Lightyear-Backed Wealth Enhancement Group to Buy Third Philadelphia Advisory Practice

Wealth Enhancement Group, an independent wealth management firm that oversees $10.4 billion in client assets, has signed a definitive agreement to purchase Wiley Group,...

Cerity Partners Acquisition to Create $21 Billion RIA

Cerity Partners, an independent wealth management and investment advisory firm, plans to merge with Blue Prairie Group, a retirement and investing consulting firm that...