Gen AI, Reg BI Among New Topics in 2025 FINRA Regulatory Oversight Report

January 28, 2025

Wintrust Completes Majority of $16B Onboarding to LPL Financial

January 28, 2025

FINRA Fines Freeloading Rep for Improper Travel and Meal Expenses

January 27, 2025

Eagle Point Institutional Income Fund Added to Schwab Alts Platform

January 23, 2025

Report: Succession Plans Loom Large in Adviser Practices

January 22, 2025

SEC Charges Arete Wealth Broker-Dealer, Advisory Firms, CCO in Connection With Illegal Securities Offering

January 21, 2025

Stockbridge Enters Private Wealth Sector, to Focus on Multifamily Rentals

January 21, 2025

Former Triton Pacific Securities VP Joins Capital Square to Head Up Southwest Sales

January 15, 2025

ADISA Hire to Focus on Membership, Unification With TNDDA

January 15, 2025

Court Appointee Recovers $3.8 Million in Ill-Gotten Gains From Florida Man’s Ponzi Scheme

January 14, 2025

ExchangeRight Recruits Senior Vice President to Serve Great Plains Region

January 14, 2025

Sponsored: FSXchange, AIX Partner to Modernize 1031 Exchange Processes

January 14, 2025

Blackstone, Apollo, KKR, and Schwab Among 12 Firms to Pay $63M Combined for Electronic Recordkeeping Failures

January 13, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

FINRA Sanctions Newbridge Securities Again, This Time for Margin Practices

January 13, 2025

Coldstream Combines With Seattle-Based Accounting Firm and RIA to Exceed $11B AUA

January 12, 2025

FINRA Fines CIM Securities $70,000 for Multiple Securities Violations

January 9, 2025

ARCTRUST Names Assistant VP of Wholesaling Support and Operations

January 9, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

Peachtree Group Names Industry Veteran as SVP of National Accounts

January 7, 2025