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SEC Obtains Final Judgments Against Broker and Two Principals Found Liable...

Judge Kimba M. Wood of the United States District Court for the Southern District of New York entered final judgments ordering more than $1.6...

LPL Adds Former FSC Securities Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited financial advisors Cris Arnold, David McIllwain, Charlotte Martin and Brenda Speer, who collectively oversee...

Ladenburg Discloses Complaints Against Subsidiary Broker-Dealer Over GPB Sales

Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, disclosed in its quarterly financial report that multiple arbitration claims and one...

Advisor Group and Ladenburg Thalmann to Merge in $1.3 Billion Deal

Advisor Group, one of the nation's largest networks of independent wealth management firms, and Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly traded...

FINRA Proposes Rule to Limit Registered Reps from Being Named as...

The Financial Industry Regulatory Authority is seeking comment on a proposed rule (Rule 3241) that would limit any registered representative from being named as...

LPL Financial Recruits Hybrid from Lincoln Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Hege Financial Group to its broker-dealer and corporate registered investment advisor platforms. The advisors...

LPL Recruits Former Ameriprise Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Christopher Sweeney to its broker-dealer and corporate registered investment advisor platforms. The move...

FINRA Suspends Two Former IMS Brokers for Helping Barred Husband Sell...

The Financial Industry Regulatory Authority has suspended and fined two former IMS Securities brokers, Kim Kopacka and Beth DeBouvre, for helping Kopacka’s previously barred...

SEC Bars Former LPL Broker for Running $5 Million Ponzi Scheme

The Securities and Exchange Commission has barred James T. Booth, 74, a former LPL Financial broker who operated a Ponzi scheme that defrauded roughly...

LPL Financial Recruits Former Woodbury Financial Duo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Don Petricic and Tom Phillips to its broker-dealer and corporate registered investment...