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SEC Charges Brokerage Assistant with Stealing Funds from Elderly Clients

The Securities and Exchange Commission has charged Kimberly Sredich, a former sales assistant at Worklife Wealth Management Inc., with misappropriating approximately $340,000 from the...

Securities America Advisors Can Now Use Instagram for Social Media Marketing

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has provided its affiliated advisors with a compliant process to...

LPL Financial Hires EVP to Focus on Advisor Relationships

LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Angela Xavier executive vice president of independent advisor services business consulting. In her new...

SEC and FINRA Schedule National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority have opened registration for their 2019 National Compliance Outreach Program for broker-dealers, which...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

SEC Charges Former Directors of Woodbridge Ponzi Scheme with Fraud

The Securities and Exchange Commission has charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its $1.2...

FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable...

The Financial Industry Regulatory Authority has suspended and fined a former LPL Financial broker for soliciting investors to purchase an unauthorized variable life insurance...

LPL Adds Former Voya Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added O&R Partners, made up of financial advisors Dave Olivieri and Wes Rowlands, to its...

FINRA Fines Former Growth Capital Services Broker for Allegedly Forging CEO’s...

The Financial Industry Regulatory Authority has suspended and fined John Robert White, a former Growth Capital Services broker, for allegedly forging the CEO’s signature...

KMS Financial Services Names New Chief Executive Officer

KMS Financial Services Inc., an independent advisory and brokerage firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has named Erinn...