Home Tags Broker

Tag: broker

SEC Charges Former Broker with $4 Million Offering Fraud

The Securities and Exchange Commission has charged former broker and New York City resident Craig A. Zabala for defrauding investors in his company, Concorde...

Good Life Recruits $200 Million Team

Good Life Companies, an independent hybrid registered investment advisor, has recruited YTS Wealth Management, a Pennsylvania-based team with approximately $200 million in total client...

FINRA Suspends Former Purshe Kaplan Broker over Reg D Offerings He...

Financial Industry Regulatory Authority has fined and suspended a former Purshe Kaplan Sterling Investments broker for raising $6 million from numerous investors through two...

Securities America Recruits Another Credit Union Program from LPL Financial

Securities America, a wealth management firm within Advisor Group’s network, has added USE Credit Union’s investment services program to its financial institutions platform. USECU has...

SEC Charges Former Transamerica Broker with Defrauding Retail Investors

The Securities and Exchange Commission has charged Scott Allen Fries, a former Ohio-based registered representative and investment adviser representative, with allegedly defrauding at least...

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...