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Baird and Hilliard Lyons to Merge

Wealth management giant Baird has agreed to acquire rival brokerage firm Hilliard Lyons and its affiliate Hilliard Lyons Trust Company, both based in Louisville,...

LPL Recruits Former Wells Fargo Advisors Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...

Cetera Hires Former LPL Exec as a Community Financial Institution Director

Cetera, a network of independent broker-dealer firms, has hired Brian Neyland as an independent program manager servicing banks, credit unions and independent advisors in...

LPL Financial Adds Former Cetera Team to IBD and RIA Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Infinity Financial Partners to its broker-dealer and corporate registered investment advisor platforms. Infinity, which...

Triad Advisors Adds $850 Million Team from Wells Fargo

Triad Advisors LLC, an independent advisory and brokerage firm and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Stonebridge Financial Group...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...

Ladenburg’s Highland Capital Acquires Certain Assets of Four Seasons Financial Group

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded diversified financial services company based in Miami, Florida, announced that its subsidiary Highland Capital Brokerage...

Former LPL Broker Sentenced to 20 Years for Stealing $1.8 Million...

Sonya Camarco, a former broker at LPL Financial, was sentenced to 20 years in prison pleading guilty to diverting more than $1.8 million in...

LPL Recruits $800 Million Team from Signator

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seattle First Asset Management LLC to its broker-dealer and corporate registered investment advisor platforms....

FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and...

The Financial Industry Regulatory Authority has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures that spanned a period of...