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Former Merrill Lynch Advisor Launches Practice with LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, reported that financial advisor Peter Shunyia has joined the firm to launch his independent practice, Shunyia...

Former Wells Fargo Financial Advisor Joins LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Guy Rodgers to its broker-dealer, corporate registered investment advisor, and custodial platforms....

LPL Financial Recruits Former Morgan Stanley Advisor

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Douglas Chin to its broker-dealer, corporate registered investment advisor, and custodial platforms. Formerly...

LPL Financial Recruits Adviser Managing $260 Million

LPL Financial LLC, the nation's largest independent broker-dealer, has added Lindsey Rhea of Alia Wealth Partners to its broker-dealer, corporate registered investment advisor, and...

Wealth Enhancement Group to Surpass $50 Billion in Client Assets with...

Wealth Enhancement Group, an independent wealth management firm, plans to purchase New York-based QCI Asset Management Inc., an independent registered investment advisor with 12...

CI Financial to Buy $5.2 Billion Silicon Valley Wealth Manager

CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, announced plans to purchase Portola Partners Group...

Wealth Enhancement Group to Acquire $4.7 Billion RIA in Largest Transaction...

Wealth Enhancement Group, an independent wealth management firm, plans to acquire Carroll Financial Associates Inc., an independent registered investment advisor headquartered in Charlotte, North...

LPL Financial Recruits Another Texas-Based Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Corpus Christi Financial Group to its broker-dealer, corporate registered investment advisor, and custodial platforms. Corpus...

SEC Bars Adviser Accused of Defrauding Clients and Pro Athletes

The Securities and Exchange Commission has barred investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with “repeatedly” defrauding and breaching his fiduciary...

SEC Obtains Final Judgment Against Adviser Accused of Defrauding Clients and...

The Securities and Exchange Commission has obtained a final judgment against investment adviser Douglas Elstun of Lenexa, Kansas, who was charged with "repeatedly" defrauding...