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NASAA: State Regulators Ready to Help During Partial SEC Shutdown

The North American Securities Administrators Association has reported that state securities regulators are unaffected by the partial shutdown of the federal government and available...

LPL Financial Adds $360 Million Team from Wells Fargo Advisors

LPL Financial, the nation’s largest independent broker-dealer, has added Harbor Financial Group to its broker-dealer and corporate registered investment advisor platforms. The firm joined...

Wells Fargo Reaches $575 Million Agreement with States over Sales Misconduct

Wells Fargo & Co. (NYSE: WFC) has agreed to pay $575 million to settle widespread claims over the bank’s improper sales practices. The firm...

LPL Financial Adds Former Cetera Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Founders Investment Services, offered at Founders Federal Credit Union, to its broker-dealer and corporate...

LPL Recruits Former Cadaret Grant Team

LPL Financial LLC, a nation’s largest independent broker-dealer, has added Mayco Financial Services to its broker-dealer and corporate registered investment advisor platforms. Mayco, which...

Securities America Recruits Betcher Financial Group from ONESCO

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Betcher Financial Group, a network of nine advisors...

Mercer Advisors Acquires Beacon Wealth Management

Mercer Advisors Inc., a registered investment advisor backed by private equity firm Genstar Capital, has acquired Beacon Wealth Management, a boutique wealth management firm...

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...

Guest Article: The Mysteries of Investments with Conservation Easements

By: Michael C. Ning This weekend, I was lucky enough to be invited to a 2018 due diligence symposium, which was held at the Scottsdale...

NASAA: Enforcement Actions Skyrocket for RIAs in 2017

The North American Securities Administrators Association (NASAA), an organization that represents state, provincial, and territorial regulators in the U.S., Canada and Mexico, has just...