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Securities America CEO Nominated for Second Term on FINRA Board

Securities America, a wealth management firm within Advisor Group’s network, reported that president and chief executive officer Jim Nagengast has been nominated to the...

FINRA Fines Cadaret Grant $200,000 Over Rep’s Alleged Ponzi Scheme

Financial Industry Regulatory Authority has issued a $200,000 fine against Cadaret, Grant & Co. Inc., alleging that the broker-dealer failed to supervise one of...

Securities America Recruits Credit Union Team from LPL

Securities America, a wealth management firm within Advisor Group’s network, has added Oregon Community Credit Union (OCCU) to its financial institutions platform. The team...

LPL Financial Recruits Former Wells Fargo Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Glenn Drake and John Kinzer have joined LPL Financial’s broker-dealer and corporate registered investment...

LPL Financial Recruits $210 Million Team from Wells Fargo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Ridgeline Wealth Management to its broker-dealer and corporate registered investment advisor custodial platforms. The...

Cetera Hires Head of Business Development to Bolster Recruiting Efforts

Cetera Financial Group, a network of independent financial advisor firms, has named John Pierce as head of business development to drive its financial professional...

XY Planning Network Considers Further Legal Challenges to SEC’s Regulation Best...

On Friday, the Second Circuit Court of Appeals rejected a lawsuit challenging the Securities and Exchange Commission’s Regulation Best Interest, which goes into effect...

LPL Financial Recruits $530 Million Hybrid

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Altoona, Wisconsin-based Bernicke Wealth Management to its broker-dealer and hybrid retail investment advisor custodial...

SEC Bars Former LPL Advisor Over Fake African Charity

The Securities and Exchange Commission has barred former LPL Financial broker Dain Stokes, who was terminated by the broker-dealer last August after the New...

LPL Financial Recruits Financial Advisor with $120 Million in Client Assets

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Corinne Koehler to its broker-dealer, corporate registered investment advisor and custodial platforms....