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FINRA Bars Former Quest Capital Broker for Selling Woodbridge Promissory Notes

The Financial Industry Regulatory Authority has barred former Quest Capital broker Frank Dietrich for selling his clients more than $10.8 million in promissory notes...

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...

Centaurus Financial Names New Corporate Counsel

Centaurus Financial Inc., an independent broker-dealer, has hired Michael West to serve as corporate counsel to the firm. Prior to joining Centaurus, West spent nine...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...

FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and...

The Financial Industry Regulatory Authority has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures that spanned a period of...

Triad Advisors Names Former Colony NorthStar RIA Wholesaler as VP of...

Triad Advisors LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has hired Michael Gatti to serve as vice president...

CR Capital Names Former Stira Capital Markets VP to Head National...

CR Capital Group, a developer of distribution platforms, has named Sean McEntegart as senior vice president of national accounts. In his new role, he...

ADISA Names Award Winners at 2018 Annual Conference in Las Vegas

ADISA, a trade association representing the non-traded alternative and direct investment space, announced the 2018 winners of the organization’s A Champion of Excellence (ACE),...

FINRA’s NAC Upholds Sanctions Against Broker Charged with Misleading Native American...

FINRA’s National Adjudicatory Council, a committee that reviews initial decisions made in FINRA disciplinary proceedings, has upheld a decision involving Gopi Vungarala, a former...

HC Government Realty Trust Buys FBI Resident Agency Office in Champaign,...

HC Government Realty Trust Inc., a Regulation A REIT that invests in federally-leased properties, has purchased a Federal Bureau of Investigations resident agency office...