Beacon Pointe to Merge Two RIAs, Sells Minority Stake to PE Firm

March 10, 2020

Ameriprise Adds Two Teams with $272 Million in Client Assets

March 9, 2020

LPL Financial Recruits $610 Million Team from Raymond James

March 3, 2020

Commonwealth Hires Fidelity Exec to Expand RIA Business

February 28, 2020

Kestra Financial Recruits Wealth Management Team from Commonwealth

February 26, 2020

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

February 21, 2020

LPL Recruits Credit Union Wealth Management Practice from Cetera

February 21, 2020

Ladenburg Thalmann Completes Merger with Advisor Group

February 19, 2020

LPL Financial Recruits $650 Million Team from Cetera

February 12, 2020

Ladenburg Shareholders Approve Merger with Advisor Group

February 5, 2020

LPL Financial Recruits Pair from Advisor Group with Combined $330 Million

February 3, 2020

SEC Charges Former Broker with Defrauding Retail Investors

January 29, 2020

LPL Recruits Financial Advisors from Sagepoint and Ameriprise

January 21, 2020

SEC Bars Longtime Broker Who Pled Guilty to Defrauding Retail Investors

January 16, 2020

Court Orders Tech Fund Adviser Charged by SEC to Pay More Than $31 Million

January 14, 2020

LPL Financial Recruits Former MassMutual Team

January 14, 2020

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

January 10, 2020

LPL Financial Promotes National Sales Exec to Managing Director

January 8, 2020

Former Ladenburg Chairman Files Lawsuit to Halt Advisor Group Merger

December 31, 2019

SEC Charges Recidivist Investment Adviser with Defrauding Retirees

December 23, 2019