Home Tags Broker

Tag: broker

ADISA Now Accepting Board Nominations

The nomination committee for the Alternative & Direct Investment Securities Association (ADISA) is seeking nominations for five open board of director seats. An ADISA member...

LPL Recruits Father/Son Duo from Cadaret Grant

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Jess Murphy and Nathan Murphy to its broker-dealer and the corporate registered investment advisor...

SEC Charges Former LPL Adviser with Stealing $330,000 from Retired Client

The Securities and Exchange Commission has filed an emergency action charging investment adviser Matthew O. Clason with stealing $330,000 from a retired 73-year-old client...

SEC Charges Adviser with Fraud for Stealing More Than $2.2 Million...

The Securities and Exchange Commission has charged California-based investment adviser Mark J. Boucher and his company Strategic Wealth Advisor Group Services Inc. with misappropriating...

LPL Financial Recruits $375 Million Firm from Wells Fargo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Allen Lorenzi, Ira Shapiro and Michael Walker who have teamed up to...

SEC Charges Former Brokers with Illegally Selling Securities in Multi-Million Dollar...

The Securities and Exchange Commission has charged two former registered representatives, Minish "Joe" Hede and Kevin Graetz, for acting as unregistered brokers in the...

LPL Acquires $1.5 Billion Lucia Securities

LPL Financial, the nation’s largest independent broker-dealer, has closed its acquisition of Lucia Securities, a broker-dealer and registered investment advisor based in San Diego...

SEC Bars Former Broker for Concealing Assets in Bankruptcy Case

The Securities and Exchange Commission has barred former broker Stephen Douglas Pizzuti after he pled guilty to concealing assets in a bankruptcy case. At the...

Good Life Companies Adds $150 Million In Client Assets with Latest...

Good Life Companies, an independent hybrid registered investment advisor, has added two independent financial advisors to its platform with approximately $150 million in total...

FINRA Bars Former Guggenheim Broker for Stealing Investment Funds from Relative

The Financial Industry Regulatory Authority has barred former broker Andrew M. Arthur for allegedly converting $275,000 given to him by a relative for a...