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Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

Atria Wealth Solutions Adds General Counsel to Executive Team

Atria Wealth Solutions, Inc. (Atria), a wealth management holding company, has hired Patricia Solfaro as general counsel. In this executive management role, Solfaro will focus...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

LPL Financial Adds Former Oppenheimer Advisor with $220 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, recruited J.R. Frenzel, a Bridgeport, West Virginia-based financial advisor who has aligned with Good Life Companies,...

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...

Wells Fargo Names New Head of Asset Management Unit

Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...

Blucora Hires Former Cetera Exec as President of Wealth Management

Blucora Inc., a firm focusing on wealth management and tax preparation, has named Enrique Vasquez as president of wealth management, where he will be...

LPL Recruits Former Waddell & Reed Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Jake Murray, Mike Canavan and Jill Phillips of Teton Wealth Management to...

SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...