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Archon Capital Homes Closes Residential 1031 Exchange

Archon Capital Homes, a private real estate company, has closed a 1031 exchange sale of 13 single-family rental homes located near Cleveland, Ohio for...

Ladenburg Launches New Succession Planning Platform

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a new succession, continuity and acquisitions platform for its independent...

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...

Phoenix American Hospitality Hires Regional Vice President of Sales for the...

Phoenix American Hospitality, a Dallas-based hotel fund manager, has hired Art Miller as its regional vice president of sales for the East Coast. With more...

FSI Partners with Bill Bachrach on Client Acquisition Training Platform

The Financial Services Institute, an organization representing independent financial advisors and independent financial services firms, has partnered with Bachrach & Associates Inc. to offer...

FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year

The Financial Industry Regulatory Authority has published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and...

SEC Charges Former UBS Broker in $4 Million Scam Targeting Brokerage...

The Securities and Exchange Commission has charged a former registered representative with allegedly defrauding his brokerage customers out of nearly $4 million in a...

Woodbury Adds Two Colorado Advisory Firms with $378 Million in Combined...

Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, has added Life Wealth Principles and National Financial Advisors, which have a combined...

Massachusetts Regulator Blasts SEC Best Interest Proposal, Threatens State Rule

Secretary of the Commonwealth William Galvin, the securities regulator in Massachusetts, has submitted comments to the Securities and Exchange Commission opposing their regulation best...

Brian Kovack Launches FINRA Board Re-Election Campaign

Brian Kovack, president and co-founder of independent broker-dealer Kovack Securities Inc., is running for re-election to the mid-size firm seat on the FINRA board...