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LPL Adds Three-Advisor Team with $100 Million in Client Assets

LPL Financial LLC, the nation’s largest independent broker-dealer, has added three financial advisors, Shawn Walton, Debbie Hawksworth and Richard Coloni, to its broker-dealer and...

FINRA Fines Former Merrill Lynch Broker for Covering Clients’ Losses

The Financial Industry Regulatory Authority has fined and suspended former Merrill Lynch broker, Sofia Gonzalez, for reimbursing two clients a total of $1,234 for...

LPL Financial Recruits $180 Million Advisor from Northwestern Mutual

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Lyle Weintraub has joined its broker-dealer and hybrid registered investment advisor platforms...

SEC Fines HSBC Securities $725,000 over Adviser Compensation Misstatements

HSBC Securities Inc., a registered investment adviser and broker-dealer, has agreed to pay the Securities and Exchange Commission $725,000 for allegedly making false and...

FINRA Postpones All In-Person Arbitration and Mediation Hearings Due to Coronavirus

In response to the coronavirus pandemic (COVID-19), the Financial Industry Regulatory Authority has decided to postpone all in-person arbitration and mediation proceedings until May...

ADISA Appoints New Director to 2020 Board

Alternative & Direct Investment Securities Association (ADISA), a trade group representing the alternative investment and securities industry, has appointed Drew Dornbusch of LaSalle Investment...

FINRA Issues Notice on Pandemic-Related Business Continuity Planning

Due to the recent outbreak of coronavirus disease (COVID-19), the Financial Industry Regulatory Authority has issued a notice reminding firms to consider business continuity...

FINRA Fines/Suspends Broker Over Firearms Business

The Financial Industry Regulatory Authority has fined and suspended a former Morgan Stanley broker for failing to notify the broker-dealer about the full nature...

LPL Recruits $150 Million Team Serving NFL Clients and Professional Athletes

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited SilverRock Wealth Partners, a Charlotte, North Carolina-based team with approximately $150 million in brokerage...

SEC Obtains Judgments Against Three Who Orchestrated Public Shell Company Fraud

A federal district court in Florida entered final judgments against a Florida-based certified public accountant, a former broker, and the former broker's spouse, in...