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Royal Alliance Super-OSJ Acquires $4.5 Billion Firm

GenXFinancial, a wealth management firm affiliated with Advisor Group subsidiary Royal Alliance, has acquired Boston Partners Financial Group, a New England-based financial advisory firm...

SEC Fines Dozens of Financial Firms for Missing Form CRS Filing...

The Securities and Exchange Commission has charged and fined 21 registered investment advisers and six broker-dealers for failing to “timely” file and deliver their...

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing...

The Securities and Exchange Commission has barred former Raymond James broker Frederick Stow who pled guilty last October to aggravated identity theft, securities fraud,...

FINRA Bars Former Wells Fargo Rep Accused of Transferring Client Funds...

The Financial Industry Regulatory Authority has barred former Well Fargo advisor, Tyler Michael Rigsbee, who was reportedly fired after the firm found that client...

FINRA Bars Longtime Broker for Failing to Cooperate with Investigation

The Financial Industry Regulatory Authority has barred Nathan Gersteen Katz, a longtime broker who entered the industry in 1977, for failing to cooperate with...

Guest Contributor: Marketing and Networking Best Practices for Financial Professionals

By: Drew Jackson, President of Concorde Investment Services Financial professionals work in an extraordinarily dynamic and rapidly evolving industry, where new tech, new tools, and...

Former LPL Broker Arrested and Charged with Defrauding Elderly Clients

A veteran financial advisor was arrested and charged with defrauding elderly clients and stealing retirement assets, according to a joint statement released by Nathaniel...

Former Broker Sentenced to More Than Five Years for Defrauding Retail...

Edward E. Matthes, who was charged by the SEC in January 2020 with defrauding 26 elderly retail and advisory clients, has been sentenced in...

Voya Completes Sale of Independent Financial Planning Channel to Cetera

Voya Financial Inc. (NYSE: VOYA) has completed the sale of Voya Financial Advisors’ independent financial planning channel to Cetera Financial Group. More than 800...

LPL Affiliated Stratos Wealth Partners Adds $120 Million Advisor

Stratos Wealth Partners, one of LPL Financial’s largest affiliates with $16.5 billion in total assets, has recruited Scott Gegerson and his firm Truvium Wealth...