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Guest Contributor: 2020 Examination Priorities, FINRA to Scrutinize Private Placement Marketing...

By: Brad Updike, Director at Mick Law P.C.  The Financial Industry Regulatory Authority (FINRA) released its list of examination priorities on January 9, 2020. In...

IFS Securities Shuts Down

IFS Securities, a broker-dealer based in Atlanta, has shut down after requesting that FINRA and the 25 states where it was licensed terminate its...

Waypoint Taps Two Industry Veterans for Its Affiliated Broker-Dealer

Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added two industry veterans to its affiliated...

Commonwealth Recruits $1 Billion Hybrid from Securian Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...

SkyView Launches Digital Platform for Wealth Management M&A and Financing

SkyView Partners, a correspondent lender focused on helping independent advisors, broker-dealers, and RIAs to pursue mergers, acquisitions and succession plans, has launched their Advisory...

Another KBS REIT Replaces External Advisor with Pacific Oak

KBS Strategic Opportunity REIT, a publicly registered non-traded real estate investment trust, will terminate its advisory agreement with KBS Capital Advisors LLC, effective October...

KBS Strategic Opportunity REIT II Replaces External Advisor

KBS Strategic Opportunity REIT II, a publicly registered non-traded real estate investment trust, has terminated its advisory agreement with KBS Capital Advisors LLC, effective...

Woodbury Financial and GCG Recruit Five Longtime Wells Fargo Advisors

GCG Wealth Management, a Woodbury Financial Services-affiliated firm, has recruited five advisors with a combined $330 million in client assets to its new Greensboro,...

LPL Recruits Former Ameriprise Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Mark Sudol, Gary Sudol, and Jeffery Lavin of The Sudol Group to...

Cetera Hires Former FINRA Director as General Counsel

Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has hired former FINRA director David A. Greene...