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Prospera Financial Adds $150 Million Team from UBS

Prospera Financial Services Inc., a full-service independent broker-dealer, has added LiveOak Wealth Advisors to its platform. Based in Lafayette, Louisiana, the LiveOak team spent nine...

Griffin-American Healthcare REIT IV Secures Credit Facility of Up to $650...

Griffin-American Healthcare REIT IV Inc., a publicly registered non-traded real estate investment trust sponsored American Healthcare Investors LLC and Griffin Capital Corporation, has entered...

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

Merrill Lynch, the wealth management arm of Bank of America, is reversing its ban on commission-based products in customer retirement accounts following the death...

SEC: Merrill Lynch to Pay $8.9 Million for Undisclosed Conflict in...

Merrill Lynch, Pierce, Fenner & Smith has agreed to pay an approximately $8.9 million settlement to the Securities and Exchange Commission for failing to...

FINRA Suspends Former Morgan Stanley Broker for Forging Client’s Loan Docs

The Financial Industry Regulatory Authority has suspended a former Morgan Stanley broker for allegedly submitting forged and falsified documents to Morgan Stanley Private Bank...

Griffin Capital Essential Asset REIT II Increases Credit Facility by $200...

Griffin Capital Essential Asset REIT II Inc., a publicly registered non-traded real estate investment trust, has increased its credit facility from $550 million to...

Ousted Merrill Lynch Managing Director Launches RIA in Chicago

Former top Merrill Lynch financial advisor Bruce K. Lee has partnered with Dynasty Financial Partners to form an independent wealth management firm called Keebeck...

LPL Financial Nabs Mike Duffy and Happiness Wealth Management

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Mike Duffy and Happiness Wealth Management have joined its broker-dealer and hybrid registered investment...

LPL Taps Former UBS Exec as New Managing Director and Head...

LPL Financial LLC., the nation’s largest independent broker-dealer, has named Richard Steinmeier as the firm’s new managing director and head of business development, effective...

SEC Fines Merrill Lynch $42 Million for Misleading Customers about Trading...

The Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith Inc. with misleading customers about how it handled their orders. The...