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Equitable Financial to Pay $50 Million to Settle SEC’s Fraud Charges

The Securities and Exchange Commission has charged Equitable Financial Life Insurance Company with fraud after the company allegedly provided account statements to roughly 1.4...

CFP Board Suspends Broker Accused of Violating Reg BI with Improper...

The Certified Financial Planner Board of Standards Inc. has imposed an interim suspension against Patrick Egan, a certified financial planner and broker at Western...

SEC Alleges Western and Five Brokers Violated Reg BI with Improper...

The Securities and Exchange Commission has charged registered broker-dealer Western International Securities and five of its registered representatives – Nancy Cole, Patrick Egan, Andy...

GWG Files for Chapter 11 Bankruptcy

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, has filed voluntary Chapter 11 petitions in the...

GWG Receives Waiver of Default under Credit Facility and Non-Compliance Nasdaq...

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, has received a letter from the Nasdaq’s listing...

GWG Reportedly Preparing for Chapter 11 Bankruptcy Protection

GWG Holdings Inc. (Nasdaq: GWGH), a financial services firm and sponsor of non-traded direct investment offerings, is reportedly preparing to file for Chapter 11...

Protective Life to Combine Insurance and Financial Planning Affiliates into Single...

Protective Life Corporation plans to combine its insurance and financial planning affiliates into a single organization dubbed Concourse Financial Group.Concourse is expected to launch...

Massachusetts Charges Accountant for Allegedly Selling Unregistered Investments

The Massachusetts Securities Division has charged Ronald J. Leger for allegedly selling more than $2.5 million in unregistered securities to Massachusetts investors.Leger, a licensed...

GWG Holdings Hires Vice President of Due Diligence

GWG Holdings Inc. (NASDAQ: GWGH), a sponsor of non-traded life settlement investment programs, has hired Christina Granada as its vice president of due diligence.Granada...

GWG Expands Sales and National Accounts Team Ahead of New Product...

GWG Holdings Inc. (Nasdaq: GWGH), a sponsor of non-traded life settlement investment programs, has hired five employees to its sales and national accounts team...

GWG Hires Former SC Distributors National Accounts Exec as SVP of...

GWG Holdings Inc. (Nasdaq: GWGH), a sponsor of non-traded life settlement investment programs, has hired Jenniffer Daigle to serve as its new senior vice...

Securities America Recruits Former Ameriprise Group with $459 Million in Client...

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Syntegra Private Wealth Group, a group of...

Ladenburg’s Highland Capital Recruits Advisory Group with $150 Million In Client...

Highland Capital Brokerage, an independent life insurance brokerage company and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Oak & Stone...

Ladenburg’s Highland Capital Acquires Certain Assets of Four Seasons Financial Group

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded diversified financial services company based in Miami, Florida, announced that its subsidiary Highland Capital Brokerage...

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...

Securities America Recruits $650 Million Super OSJ Hybrid from LPL Financial

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Patriot Financial Group, an independent hybrid registered investment...

Securities America Adds $222 Million Insurance Group to Its Platform

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), has added Futurity First Insurance...