Tag: investment adviser
Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges
The Securities and Exchange Commission has ordered Crown Capital Securities LP, a dually registered investment adviser and broker-dealer, to pay nearly $1.6 million in...
Former LPL Broker to Plead Guilty to Stealing $2.9 Million from...
Massachusetts-based investment adviser and former LPL Financial broker, James K. Couture, will plead guilty to three counts of wire fraud and one count of...
LPL Affiliated Stratos Wealth Partners Adds $120 Million Advisor
Stratos Wealth Partners, one of LPL Financial’s largest affiliates with $16.5 billion in total assets, has recruited Scott Gegerson and his firm Truvium Wealth...
Centaurus to Pay $1.3 Million to Settle SEC Charges
The Securities and Exchange Commission has ordered Centaurus Financial Inc., a dually registered investment adviser and broker-dealer, to pay nearly $1.3 million to settle...
SEC Charges Former LPL Broker with Stealing $2.9 Million from Clients
The Securities and Exchange Commission has charged Massachusetts-based investment adviser and former LPL Financial broker, James K. Couture, with defrauding his advisory clients and...
SEC Bars Advisor Who Pled Guilty to Defrauding Clients Out of...
The Securities and Exchange Commission has barred former investment adviser Isaiah Goodman, who pled guilty in a Minnesota district court to defrauding at least...
Aurora Securities Names President and Chief Compliance Officer
Aurora Securities Inc., an independent broker-dealer, has hired Lori Kamen to serve as its president and chief compliance officer. She will also serve as...
SEC Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million...
The Securities and Exchange Commission has charged former investment adviser Isaiah Goodman with allegedly defrauding his advisory clients out of approximately $2.3 million.
According to...
Voya to Pay $23 Million to Settle SEC Charges
The Securities and Exchange Commission has ordered Voya Financial Advisors to pay nearly $23 million to settle charges that it breached its fiduciary duties...
Private Advisor Group Appoints Robert Moore as Chief Executive Officer
Private Advisor Group, the largest hybrid registered investment adviser on LPL Financial’s platform with $21 billion in asset under management, has appointed industry veteran...
