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SEC Bars Former Raymond James Adviser Accused of Defrauding 100 Clients

The Securities and Exchange Commission has obtained a partial judgement against Michael F. Shillin, a former Raymond James advisor accused of defrauding at least...

Kingswood Recruits Seven Independent Financial Advisors and Practices

Kingswood U.S., a network of wealth management firms, has recruited seven financial advisors who collectively oversee $295 million in total client assets. The new...

HC Government Realty Trust Names Chief Operating Officer and President

HC Government Realty Trust Inc., a Regulation A real estate investment trust that invests in federally leased properties, has appointed John Braswell as chief...

LPL Recruits $1 Billion Team from Securities America

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

CI Financial Completes Six Acquisitions, Increases U.S. Assets to $115 Billion

CI Financial Corp. (NYSE: CIXX, TSX: CIX), a dual-listed investment and wealth management company, has completed the acquisitions of four registered investment advisor firms,...

Ashford Securities Hires Head of Due Diligence

Ashford Securities LLC, the wholly-owned broker-dealer subsidiary of Ashford Inc. (NYSE: AINC), has hired Bart Malcom as senior vice president, head of due diligence. In...

Prospera Financial Services Buys $1.4 Billion Firm

Prospera Financial Services Inc., an independent broker-dealer, has purchased Dorsey & Company Inc., a New Orleans-based firm with approximately $1.4 billion in assets under...

Red Oak Fund Receives Investment Grade Rating from Egan-Jones

Red Oak Capital Intermediate Income Fund, a $50 million Regulation A+ Tier II bond offering, has been assigned an investment grade credit rating of...

ADISA Names 2022 Board of Directors

Members of the Alternative & Direct Investment Securities Association (ADISA), a trade association representing the alternative investment and securities industry, have named the new...

Opinion: PRO Act Eliminates Essential Freedoms for Independent Advisors and Main...

By: John Harrison, Executive Director of The Alternative and Direct Investment Securities Association (ADISA) Independence is a fundamental tenet of life in the United States....