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Emerson Equity Names Vice President of Operations

Emerson Equity LLC, a full-service brokerage firm, has hired Brooke Jones as vice president of operations. In her new role, the company said that...

ProEquities CEO Wins FINRA Large Firms Board Seat

Chris Flint, the president and CEO of ProEquities, has won the large firms seat in this year’s FINRA board of governors’ election over incumbent...

Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...

Archon Private Equity Partners Hires Former Deutsche Bank Alts Executive as...

Archon Private Equity Partners, a private alternative asset manager and investment firm, has hired 20-year industry veteran Rob Nicholson as managing partner. In his new...

Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

Royal Alliance Super OSJ Recruits Father-Son Hybrid

Capitol Financial Solutions, a super-OSJ affiliated with Royal Alliance Associates with nearly $1.2 billion in total client assets, has recruited Fidelity Capital Management, a...

SC Distributors Hires Senior Regional Vice President for Southeast Territory

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Andrew Eisen to oversee the sales and marketing efforts of SC Distributors...

Ei Capital Distributors Adds Five to Business Development Team

Ei Capital Distributors, the advisory and distribution arm of financial-technology firm EveryIncome Holdings, has added five senior employees to its business development and distribution...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

Wells Fargo Names New President of Brokerage Unit

Wells Fargo Advisors, the brokerage unit of Wells Fargo & Company (NYSE: WFC), has named Jim Hays as its new president. Hays, based in St....