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Waypoint Taps Two Industry Veterans for Its Affiliated Broker-Dealer

Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added two industry veterans to its affiliated...

Commonwealth Recruits $1 Billion Hybrid from Securian Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...

Ladenburg Launches 401(K) Platform for Advisors’ Business Clients

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a fully-bundled 401(k) program that allows its advisors to provide...

Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...

Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...

The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....

Waypoint Residential Taps Industry Veteran as CEO of Affiliated Broker-Dealer

Waypoint Residential LLC, a real estate investment firm focused on the U.S. rental housing sector, has hired Albert Haworth as chief executive officer of...

Ladenburg Names Veteran Executive to Senior Vice President of Enterprise Services

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has appointed veteran industry operations and technology executive David Ballard to the...

Texas Fines LPL Financial $450,000 for Selling Unregistered Securities

LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...

Ladenburg’s Securities Service Network Recruits New York Practice With $180 Million...

Securities Service Network LLC, an independent advisory and brokerage firm and wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited...

Ladenburg Thalmann Launches Advanced Planning Group

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded diversified financial services company, has launched its enterprise-level advanced planning group, comprised of a team...