Wells Fargo Names New President of Brokerage Unit

August 2, 2019

ProEquities CEO Announces Candidacy for FINRA Large Firms Seat

July 31, 2019

FINRA Suspends Former Wells Fargo Broker for Trading on Deceased Customer’s Account

July 29, 2019

LPL Financial Adds Another Group from Kestra Financial

July 29, 2019

Charles Schwab to Buy USAA’s Brokerage Business for $1.8 Billion

July 26, 2019

LPL Financial Recruits Former Kestra Group with $500 Million in Client Assets

July 23, 2019

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets

July 22, 2019

Pacific Oak Capital Names Chief Financial Officer

July 19, 2019

IFP Hires Former Cambridge Exec as New Chief Compliance Officer

July 18, 2019

Voya Launches Robo-Advice Platform

July 12, 2019

EP Wealth Advisors Expands to Phoenix with Latest RIA Acquisition

July 11, 2019

LPL Financial Recruits $1.1 Billion Team from Raymond James

July 3, 2019

Artivest Names New Chief Financial Officer

July 3, 2019

SEC Bars Investment Adviser Charged with Defrauding Retail Investment Advisory Clients

July 2, 2019

SEC Charges Founder of Bankrupt Advisory Firm with Fraud

June 25, 2019

Massachusetts Securities Division Launches Sweep of Marijuana-Related Offerings

June 21, 2019

Genstar-Backed Mercer Global Advisors Buys $510 Million AUM Firm

June 21, 2019

Owl Rock Capital Corporation II Increases Offering

June 20, 2019

Former Cetera Team Returns to LPL

June 19, 2019

Atria Wealth Solutions Adds General Counsel to Executive Team

June 17, 2019