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FINRA Bars Former Transamerica Broker

The Financial Industry Regulatory Authority has barred former Transamerica broker, Mark Smith, for refusing to appear for on-the-record testimony as requested by the regulator. Smith...

Charges Added Against Former LPL Rep Accused of Stealing $1.4 Million...

A former LPL financial advisor faces up to 37 years in prison after being charged in a superseding indictment with defrauding his elderly clients...

Cetera Advisor Networks Appoints New President

Cetera Financial Group, a network of independent retail firms, has appointed Tim Stinson as president of Cetera Advisor Networks. Stinson replaces Tom Taylor, who will...

SEC Charges Former UBS Advisor with Stealing $5.8 Million from Client

The Securities and Exchange Commission has charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing...

Financial Services Institute Names 2022 Board and Executive Committee Members

The Financial Services Institute, a trade group representing independent financial advisors and independent financial services firms, has named four new directors to its board...

SEC Bars Former Raymond James Adviser Accused of Defrauding 100 Clients

The Securities and Exchange Commission has obtained a partial judgement against Michael F. Shillin, a former Raymond James advisor accused of defrauding at least...

Kingswood Recruits Seven Independent Financial Advisors and Practices

Kingswood U.S., a network of wealth management firms, has recruited seven financial advisors who collectively oversee $295 million in total client assets. The new...

FINRA Seeks Sanctions Against Broker Accused of Murdering His Client

The Financial Industry Regulatory Authority has filed a complaint against Keith Todd Ashley, a former Parkland Securities broker and Texas microbrewery owner who is...

Prospera Financial Services Buys $1.4 Billion Firm

Prospera Financial Services Inc., an independent broker-dealer, has purchased Dorsey & Company Inc., a New Orleans-based firm with approximately $1.4 billion in assets under...

ADISA Names 2022 Board of Directors

Members of the Alternative & Direct Investment Securities Association (ADISA), a trade association representing the alternative investment and securities industry, have named the new...
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