Michigan RIA Files Lawsuit Over Trademark of Altruist Name

August 14, 2023

Former LPL Advisor Sentenced to 54 Months in Prison

August 11, 2023

Cetera Adds $50 Billion of Client Assets with Acquisition of Securian Financial Group

August 11, 2023

RIA with $3 Billion in Client Assets Departs Schwab for Axos

August 11, 2023

FINRA Bars Former Raymond James Broker; Fines and Suspends LPL Brokers

August 10, 2023

Wood Wealth Management Launches Via LPL Financial

August 10, 2023

Former Merrill Lynch Advisors with $320 Million Under Advisement Join LPL

August 9, 2023

Stifel Adds Three Advisory Offices Representing $670 Million of Client Assets

August 8, 2023

Former Morgan Stanley Advisors with $650 Million in Assets Join LPL Financial

August 7, 2023

Powell Financial Partners Joins Cetera Financial

August 4, 2023

Former Carson Group Advisor with $100 Million in Assets Rejoins LPL Financial

August 3, 2023

LPL Financial Up to Nearly 22,000 Advisors

August 1, 2023

SEC Charges Former Cetera Rep with Defrauding Elderly Investor of $2.4 Million

August 1, 2023

FINRA Censures and Fines Concorde Investment Services Over Improper Private Placement Sales

July 31, 2023

FINRA Censures and Fines LPL Financial $3 Million

July 27, 2023

Former Merrill Lynch Advisors with $425 Million in Assets Joins LPL Financial

July 27, 2023

LPL to Acquire Crown Capital Securities

July 26, 2023

SEC Obtains Final Judgments Against Ponzi Scheme Operators

July 25, 2023

Former Wells Fargo Advisors with $245 Million in Assets Join LPL Financial

July 25, 2023

SEC Resolves “Saivian” Ponzi Scheme

July 24, 2023