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FINRA Fines Cadaret Grant $200,000 Over Rep’s Alleged Ponzi Scheme

Financial Industry Regulatory Authority has issued a $200,000 fine against Cadaret, Grant & Co. Inc., alleging that the broker-dealer failed to supervise one of...

ProEquities Names New President

ProEquities Inc., a registered investment advisor and broker-dealer, has promoted interim president Libet Anderson to president of the company. Anderson has more than 30...

LPL Financial Recruits Former Wells Fargo Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Glenn Drake and John Kinzer have joined LPL Financial’s broker-dealer and corporate registered investment...

LPL Financial Recruits $210 Million Team from Wells Fargo

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

LPL Financial Recruits $530 Million Hybrid

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Altoona, Wisconsin-based Bernicke Wealth Management to its broker-dealer and hybrid retail investment advisor custodial...

SEC Bars Former LPL Advisor Over Fake African Charity

The Securities and Exchange Commission has barred former LPL Financial broker Dain Stokes, who was terminated by the broker-dealer last August after the New...

Advisor Group Adds Reg BI Compliance Tools to Account Management Platform

Advisor Group, the nation's largest network of independent wealth management firms, has added new features to its digital client onboarding and account management platform...

LPL Financial Recruits Financial Advisor with $120 Million in Client Assets

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

FINRA Expels Broker-Dealer Sandlapper Securities Following NAC Appeal

On Tuesday, FINRA's National Adjudicatory Council affirmed the expulsion of broker-dealer Sandlapper Securities, as well as the bar of founder and chief executive officer...

LPL Financial Recruits Former Securities America Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Omaha, Nebraska-based Fogarty Wealth Management to its broker-dealer, corporate registered investment advisor, and custodial...