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Former Royal Alliance Adviser Pleads Guilty to Criminal Fraud Charges

Kimberly Kitts, a former Royal Alliance financial adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Kitts...

NB Private Capital Hires Three New Executives

NB Private Capital LLC, a Southern California-based sponsor of private placement offerings, has expanded its sales team with the hiring of three new executives. David...

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...

LPL Adds Former Cetera Hybrid to Platform

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

LPL Recruits $500 Million Team Formerly with Cadaret Grant

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Beltz Ianni & Associates LLC to its broker-dealer and corporate registered investment advisor platforms....

Dawn Bennett Convicted of Fraud in $20 Million Ponzi Scheme

A Maryland federal jury convicted former financial adviser and radio talk show host Dawn Bennett for defrauding investors out of millions in a $20...

LPL Recruits Former Lincoln Financial Firm with $200 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Richmond, Virginia-based Moore Financial Services to its broker-dealer and corporate registered investment advisor platforms....

The DI Wire Q&A with Tony Chereso, President and CEO of...

IPAVision 2018 is coming up on September 24-26 in Chicago. The annual event has become known for its “State of the Industry” approach. As we sit...

Phoenix American Hospitality Hires Regional Vice President of Sales for the...

Phoenix American Hospitality, a Dallas-based hotel fund manager, has hired Art Miller as its regional vice president of sales for the East Coast. With more...
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