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Hartford Funds Launches First Interval Fund

Hartford Funds, an asset manager that provides mutual funds, exchange traded funds, and 529 college savings plans, has launched its first closed-end interval fund,...

SEC Bars Former LPL Broker for Running $5 Million Ponzi Scheme

The Securities and Exchange Commission has barred James T. Booth, 74, a former LPL Financial broker who operated a Ponzi scheme that defrauded roughly...

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...

Extra Space Storage Makes Preferred Stock Investment in Smartstop Self Storage...

SmartStop Self Storage REIT Inc., a publicly registered non-traded real estate investment trust formerly known as Strategic Storage Trust II, has entered into a...

Ladenburg Thalmann Purportedly Up for Sale

Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, is reportedly eyeing a potential sale, according to industry reports, citing anonymous...

Representatives Introduce Legislation to Expand “Accredited Investor” Definition, Again

Representatives French Hill (R-AR) and David Schweikert (R-AZ) have introduced the Fair Investment Opportunities for Professional Experts Act (H.R. 4762) to expand the definition...

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...

SEC Charges Former LPL Broker with Defrauding Retail Investors in Ponzi...

The Securities and Exchange Commission has charged a former LPL Financial broker with operating a Ponzi scheme that defrauded more than three dozen retail...

SEC: Raymond James to Pay $15 Million for Improperly Charging Retail...

The Securities and Exchange Commission has agreed to settle charges against three Raymond James entities for improperly charging advisory fees on inactive retail client...

XY Planning Network Files Lawsuit to Challenge SEC’s Regulation Best Interest...

XY Planning Network (XYPN), a financial planning platform for fee-only financial advisors founded by Alan Moore and Michael Kitces, has filed a lawsuit in...