LPL Financial Recruits $120 Million Father-Daughter Team

April 25, 2022

SFA Partners Names EVP and Chief Operating Officer

April 22, 2022

FINRA Fines Broker-Dealer $45,000 over GPB Private Placement Sales

April 19, 2022

FINRA Bars Ex-Cetera Broker for Stealing Funds to Buy Mutual Fund Shares for Relative

April 12, 2022

Advisor Group’s Triad Recruits Gallagher’s $6 Billion Retirement Consulting Practice

April 12, 2022

Former LPL CIO Joins Carson Group as Managing Partner and Chief Strategy Officer

April 7, 2022

Geneos to Pay $400,000 to Settle FINRA Charges Involving GPB and “Risky” Alternative Mutual Fund

March 29, 2022

FINRA Fines Two Broker-Dealers $115,000 over GPB Private Placement Sales

March 25, 2022

Avantax Recruits $200 Million Veteran Advisor from LPL

March 24, 2022

FINRA Fines Crown Capital Securities over Commission Payments

March 14, 2022

Independent Financial Group Hires SVP of National Sales and Marketing

March 9, 2022

SEC Charges Cambridge with Failing to Disclose Conflicts over Mutual Fund Selection

March 3, 2022

Advisor Group Adds Three Industry Executives to Team

February 24, 2022

LPL Financial Recruits $1 Billion Team from Wells Fargo

February 22, 2022

Massachusetts Charges Purshe Kaplan with Failing to Supervise Dually-Registered Agents

February 22, 2022

SEC Charges and Fines 12 More Firms for Failing to Meet Form CRS Obligations

February 16, 2022

ADISA Announces 2022 President-Elect and Officers

February 16, 2022

LPL Recruits Father/Son Advisor Team from Raymond James

February 10, 2022

LPL Reports $1.21 Trillion in Advisory and Brokerage Assets in 4Q21

February 4, 2022

Advisor Group Recruits Four Advisors with $232 Million in Client Assets

February 2, 2022