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Massachusetts Fines/Orders Overhaul of MML’s Social Media Policies after GameStop Frenzy

The Massachusetts Securities Division ordered MML Investors Services LLC, a subsidiary of MassMutual, to overhaul their social media policies and pay a $4 million...

FINRA Bars Former Cambridge Broker for Allegedly Stealing Trust Funds

The Financial Industry Regulatory Authority has barred former Cambridge broker, William J. Michero, who was fired by the broker-dealer for allegedly misappropriating trust funds...

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...

Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice

Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...

LPL Financial Recruits $625 Million Texas-Based Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added TBT Financial Services to its broker-dealer, corporate registered investment advisor, and custodial platforms. The advisors...

SEC Sanctions Eight Broker-Dealers/RIAs for Deficient Cybersecurity Protection

The Securities and Exchange Commission has sanctioned eight firms for having deficient cybersecurity policies and procedures that resulted in email account takeovers that exposed...

Lasalle St. Recruits $100 Million Husband-and-Wife Advisor Team from Cetera

LaSalle St., a family of wealth management firms encompassing independent broker-dealer and registered investment adviser (RIA) platforms, has recruited Roger and Rebecca Hannan, a...

LPL Managing Director and Chief Investment Officer to Retire in Early...

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, reported that Burt White, managing director...

Former Oppenheimer Team Launches New Practice with LPL

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Tower 68 Financial Advisors, a former Oppenheimer team with approximately $550 million in advisory,...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Domain Names

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-30 warning firms of an ongoing phishing campaign that involves fraudulent emails purporting to be...