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SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7...

The Securities and Exchange Commission has barred former long-time Commonwealth Financial broker, Gerald Allan Eaton, after he pled guilty to stealing more than $3.7...

Commonwealth Hires Fidelity Exec to Expand RIA Business

Commonwealth Financial Network, a private registered investment adviser and independent broker-dealer, has hired Matthew Chisholm to serve in the newly created role of senior...

Commonwealth Recruits $1 Billion Hybrid from Securian Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

LPL Financial Adds Another Group from Kestra Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encino, California-based PFP Financial and Insurance Services Corp. to its broker-dealer and corporate registered...

LPL Financial Recruits Former Kestra Group with $500 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Charton Financial Group to its broker-dealer and corporate registered investment advisor platforms. Edward Charton, principal...

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...

The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...

Massachusetts Charges Former Commonwealth Adviser with Allegedly Stealing from Retiree

The Massachusetts Securities Division has charged a former investment adviser who allegedly withdrew nearly $100,000 from a client’s accounts over a 13-year period. Bruce Colin...

Commonwealth Adds Former Cadaret Grant Team to Platform

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Michael Roberts Associates Inc. to its network of independent...

Commonwealth Recruits $325 Million Team from LPL

Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Daley Financial Partners of Oak Brook, Illinois, to...