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Atria Wealth Solutions Buys Broker-Dealer with $11 Billion AUA

Atria Wealth Solutions Inc., a wealth management holding company, has closed the acquisition of Western International Securities Inc, an independent broker-dealer based in Pasadena,...

Advisor Group Hires Former United Capital Exec as Chief Financial Officer

Advisor Group, a network of independent wealth management firms, has hired Jon Frojen as chief financial officer. In his new role, he will oversee the...

Advisor Group to Consolidate Three Former Ladenburg Broker-Dealers

Following its acquisition of Ladenburg Thalmann earlier this year, Advisor Group plans to consolidate Investacorp, Securities Service Network (SSN) and KMS Financial Services, three...

SEC Fines HSBC Securities $725,000 over Adviser Compensation Misstatements

HSBC Securities Inc., a registered investment adviser and broker-dealer, has agreed to pay the Securities and Exchange Commission $725,000 for allegedly making false and...

KBS Growth & Income REIT Sells California Office Building to Private...

KBS Growth & Income REIT Inc., a publicly registered non-traded REIT, has sold Von Karman Tech Center, a 101,200-square-foot multi-tenant office building located in...

SEC Obtains Fraud Judgment Against Former Adviser Who Stole $1.9 Million...

The Securities and Exchange Commission has obtained a final judgment against Jay Costa Kelter, a former registered investment adviser and registered representative who was...

KBS Growth & Income REIT Lowers NAV Per Share, Mulls Strategic...

The board of KBS Growth & Income REIT Inc., a publicly registered non-traded REIT, has approved an estimated net asset value of $8.43 per...

KBS REIT II Reports Lower NAV

The board of KBS Real Estate Investment Trust II, a publicly registered non-traded REIT sponsored by KBS, has approved an estimated net asset value...

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...

SDNY Dismisses States’ Lawsuit Against SEC Broker Advice Rule

The federal lawsuit filed by eight attorneys general against the Securities and Exchange Commission over its broker advice rule has been dismissed by the...