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Former Wells Fargo/Morgan Stanley Broker Pleads Guilty to Defrauding Clients in...

Elias Herbert Hafen, a former financial adviser at Wells Fargo and Morgan Stanley, pled guilty in a New York federal court yesterday to investment...

LPL Recruits Former Wells Fargo Financial Advisor with $125 Million AUM

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Brian Gernant of Gernant Asset Management to its broker-dealer and corporate registered...

LPL Financial Recruits Former Ameriprise Hybrid

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Barry Rucks and Matt Silverhardt of Barry A. Rucks & Associates to...

Dawn Bennett Appeals 20-Year Prison Sentence for Ponzi Scheme that Paid...

Former financial adviser and radio talk show host Dawn Bennett, who was sentenced to 20 years in prison last month for defrauding 46 investors...

HighTower Makes Investment in Billion Dollar Massachusetts RIA

HighTower, one of the nation's largest registered investment advisory firms, has made a “strategic” investment in Lexington Wealth Management, a Lexington, Massachusetts-based advisory group...

LPL Financial Adds Former UBS Broker with $160 Million Of Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Cary L. Hall Jr., founder and chief executive officer of CLH Wealth...

LPL Financial to Acquire Firm with $3 Billion in Client Assets

LPL Financial Holdings Inc. has agreed to acquire Allen & Company of Florida Inc., a broker-dealer and registered investment adviser with 30 advisors that...

Financial Advisor with a Penchant for Witchcraft Sentenced to 20 Years...

Former financial adviser and radio talk show host Dawn Bennett was sentenced to 20 years in prison on Wednesday for defrauding 46 investors out...

SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...

Former Ameriprise Advisor Goes Indie with LPL Firm

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Mike Bensey has joined LPL Financial and aligned with Good Life Companies....