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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...

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...

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...

FINRA Bars Ex-Cetera Broker for Stealing Funds to Buy Mutual Fund...

The Financial Industry Regulatory Authority has barred former Cetera Advisors broker, Marianne O'Shee Smith, who was accused of converting $45,100 from three senior customers...

Advisor Group’s Triad Recruits Gallagher’s $6 Billion Retirement Consulting Practice

Triad Advisors, an independent wealth management firm and part of the Advisor Group network, has recruited Gallagher's Retirement Plan Consulting Practice, a team of...

Daughter of Imprisoned Former Securities America Broker Pleads Guilty to Federal...

The United States Attorney for the Southern District of New York reported that Vania May Bell, the former comptroller and chief compliance officer of...

SEC Obtains Judgment Against Former Transamerica Broker Accused of Defrauding Investors

The U.S. District Court for the Southern District of Ohio has entered a final judgment against Scott Allen Fries, a former registered representative and...

Avantax Recruits $200 Million Veteran Advisor from LPL

Avantax, a tax-focused financial planning firm, has recruited Sullivan Financial Services Inc., a Las Vegas-based firm led by veteran financial advisor Tom Sullivan, who...

SEC Charges Former LPL/Wells Fargo Broker with Stealing $680,000 from Clients

The Securities and Exchange Commission has charged Mario E. Rivero Jr., a former broker and investment adviser, with misappropriating at least $680,000 from his...