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CI Financial to Buy $5.2 Billion Silicon Valley Wealth Manager

CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, announced plans to purchase Portola Partners Group...

SC Distributors Hires Vice President of National Accounts

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Kara Howard as vice president of national accounts. Howard has more than 17...

FINRA Bars Former Cambridge Broker for Allegedly Stealing Trust Funds

The Financial Industry Regulatory Authority has barred former Cambridge broker, William J. Michero, who was fired by the broker-dealer for allegedly misappropriating trust funds...

Wealth Enhancement Group to Acquire $4.7 Billion RIA in Largest Transaction...

Wealth Enhancement Group, an independent wealth management firm, plans to acquire Carroll Financial Associates Inc., an independent registered investment advisor headquartered in Charlotte, North...

LPL Financial Recruits Another Texas-Based Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Corpus Christi Financial Group to its broker-dealer, corporate registered investment advisor, and custodial platforms. Corpus...

Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice

Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...

LPL Financial Recruits $625 Million Texas-Based Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added TBT Financial Services to its broker-dealer, corporate registered investment advisor, and custodial platforms. The advisors...

Regulatory Overreach – Pushing Back Against the SEC and FINRA

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...

Lasalle St. Recruits $100 Million Husband-and-Wife Advisor Team from Cetera

LaSalle St., a family of wealth management firms encompassing independent broker-dealer and registered investment adviser (RIA) platforms, has recruited Roger and Rebecca Hannan, a...

LPL Managing Director and Chief Investment Officer to Retire in Early...

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, reported that Burt White, managing director...