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It’s Like Déjà Vu All Over Again – Biden’s Recycled Attack...

During his successful 2020 presidential campaign, then-candidate Joseph Biden proposed the elimination of 1031 like-kind exchanges for high-earning real estate investors. Once in the...

SEC Charges Wells Fargo Advisors with Anti-Money Laundering Violations

The Securities and Exchange Commission has charged Wells Fargo Advisors with failing to file at least 34 suspicious activity reports in a timely manner...

Advisor Group to Buy $30 Billion Broker-Dealer

Advisor Group, one of the nation's largest networks of independent wealth management firms, has agreed to purchase Infinex Financial Holdings Inc., the holding company...

Cetera Recruits $300 Million Team from Mass Mutual

Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Skafco, a financial planning team that manages approximately $300...

Preferred Capital Securities Hires SVP of Customer Experience

Preferred Capital Securities, an independent managing broker-dealer, has hired Wes Smith as senior vice president of customer experience. Prior to joining the firm, Smith spent...

LPL Reports First Quarter 2022 Results, Broker Count Exceeds 20,000

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its first quarter 2022 financial...

ADISA Reports Highlights from 2022 Spring Conference in Orlando

The Alternative & Direct Investment Securities Association, a trade association representing the non-traded alternative investment space, hosted nearly 600 industry professionals at its 2022...

SEC Charges Dually Registered Broker with Operating Ponzi Scheme

The Securities and Exchange Commission has filed an emergency action and charged North Carolina-based broker and investment adviser Shawn Good with defrauding clients and...

LPL Financial Recruits $120 Million Father-Daughter Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Northern Lakes Financial Group to its broker-dealer, hybrid registered investment advisor, and custodial platforms....

SFA Partners Names EVP and Chief Operating Officer

SFA Partners, a group of independent financial advisor businesses, has promoted Jamie Mackay to executive vice president and chief operating officer. In his new...