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Federal Jury Convicts Broker and Investment Adviser on 21 Counts of...

Leon Vaccarelli, a Connecticut-based broker and investment adviser previously charged by the Securities and Exchange Commission, was found guilty by a federal jury on...

Securities America Recruits Former Ameriprise Group with $459 Million in Client...

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Syntegra Private Wealth Group, a group of...

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...

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...

Capital Square 1031 Adds Two to Sales Team

Capital Square 1031, a real estate investment and management firm specializing in tax-advantaged Delaware statutory trust offerings, has hired Brad Kahan and Ryan Fischer...

Husband-Wife Team Join Cetera from Ameriprise

Cetera, a network of independent broker-dealer firms, announced that husband-and-wife financial advisory team, Joseph and Pamela Malara, have joined the Cetera Investment Services platform....

SEC Fines Ameriprise $4.5 Million for Failing to Prevent Theft by...

The Securities and Exchange Commission has fined Ameriprise Financial Services Inc. $4.5 million for failing to safeguard retail investor assets from theft by five...

FINRA Suspends Former Baird Broker for Borrowing $70,000 from a Client

The Financial Industry Regulatory Authority issued a five-month suspension and $10,000 fine against broker Patrick Jermaine Phillips for borrowing funds from a client and...

Ameriprise Grows Retail Client Assets to Record $566 Billion in 2Q18

Ameriprise Financial Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, reported strong growth during the second quarter of 2018 across a number...