Tag: financial advisor
SEC Bars Former Dawn Bennett Associate for Role in $20 Million...
The Securities and Exchange Commission has barred Bradley Mascho, the onetime chief financial officer of Dawn Bennett’s DJB Holdings LLC, after he pled guilty...
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...
LPL Recruits Former Ameriprise Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Mark Sudol, Gary Sudol, and Jeffery Lavin of The Sudol Group to...
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...
