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HighTower Expands Executive Team with Three New Hires

HighTower, one of the nation's largest registered investment advisory firms, has expanded its corporate team with three new hires: Abby Salameh as chief marketing...

Former HD Vest CEO Takes the Reins at HighTower

HighTower, an independent fee-based advisory firm, has named industry veteran Bob Oros as its new chief executive officer. Oros, who has more than 20 years...

Triad Advisors Names Former Colony NorthStar RIA Wholesaler as VP of...

Triad Advisors LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has hired Michael Gatti to serve as vice president...

LPL Super-OSJ Stratos Adds Four Firms with $1 Billion AUM, Hires...

Stratos Wealth Network, a super OSJ and hybrid RIA affiliated with LPL Financial with total assets of $13.3 billion, has recruited four independent financial...

Cetera Acquired by Private Equity Firm Genstar Capital

After months of speculation, Cetera Financial Group, the second largest independent broker-dealer in the nation, has agreed to sell a majority stake of its...

SEC Fines Charles Schwab $2.8 Million for Failing to Report Suspicious...

The Securities and Exchange Commission has charged Charles Schwab & Co. Inc., a registered broker-dealer, for allegedly failing to file suspicious activity reports on...