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Ladenburg Thalmann Completes Merger with Advisor Group

Ladenburg Thalmann Financial Services Inc., a financial services company, has completed its merger with Advisor Group Inc., one of the nation's largest networks of...

Next Financial to Refund $500,000 to Customers over Mutual Fund Sales

Texas-based broker-dealer Next Financial Group Inc. has agreed to refund $500,000 to customers of a former broker who moved clients in and out of...

SC Distributors Hires Senior Vice President of National Accounts

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Beth Sanlorenzo as senior vice president of national accounts. Sanlorenzo has more than...

Ladenburg Shareholders Approve Merger with Advisor Group

Shareholders of Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, have approved the company’s proposed merger with Advisor Group, one...

Guest Contributor: 2020 Examination Priorities, FINRA to Scrutinize Private Placement Marketing...

By: Brad Updike, Director at Mick Law P.C.  The Financial Industry Regulatory Authority (FINRA) released its list of examination priorities on January 9, 2020. In...

SharesPost Hires New Sales and Distribution Team from CR Capital Distributors

SharesPost, a platform for secondary transactions and digital securities, has hired a new in-house sales and distribution team to expand access to its investment...

H. Beck Names Chief Operations Officer

H. Beck Inc., an independent financial advisor platform and subsidiary of Kestra Financial Inc., has hired industry veteran Rob Costello as its new chief...

FINRA Fines Royal Alliance Over Two Brokers Who Stole $3.8 Million...

The Financial Industry Regulatory Authority has fined independent broker-dealer Royal Alliance Associates $400,000 after two of its brokers, acting independently of each other, stole...

Guest Contributor: Where Alts Sponsors Playing in the Retail Space Can...

By Mike Huisman, Head of Alternative Product Solutions at Envision Financial Systems The opportunity for alternative investment sponsors couldn’t be clearer. With most institutions (and...

Waypoint Expands Affiliated Broker-Dealer Team with Five New Hires

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