Prospera Financial Services Names Paul Keeton Chief Investment Officer

February 4, 2026

FINRA Fines St. Louis-Based Broker-Dealer $750K Over Texting, Discovery Violations

February 2, 2026

Concorde Adds Financial Adviser Ashley Romiti to Broker-Dealer Platform

February 2, 2026

Cetera’s Summit Network Adds Ex-Commonwealth Adviser With $170M in AUA

January 29, 2026

Turnstone Launches $550M in Funds Targeting RV Parks, Extended-Stay Hotels & Storage

January 28, 2026

FINRA Fines Cetera $1.1 Million Over Anti-Money Laundering Failures

January 28, 2026

Concorde Investment Services Adds G3 Capital to Broker-Dealer Platform

January 27, 2026

Osaic’s Triad Advisors Defeats $27M FINRA Arbitration Claim Tied to Ex-Broker

January 21, 2026

Envision Launches AltsKeeper Platform for Servicing Alternative and Semi-Liquid Products

January 21, 2026

ExchangeRight Appoints Mollie Boyce as SVP of National Accounts

January 20, 2026

Revere Securities Names Kyle Kadish as Director of Private Markets

January 20, 2026

Hamilton Point Investments Launches $28.8 Million HPI Farmhouse DST

January 19, 2026

InCommercial Launches Fifth Motor Fuel Fund, Aiming to Raise $100 Million

January 14, 2026

ExchangeRight Adds Betsy Ward as SVP of National Accounts

January 13, 2026

Florida Man to Face Criminal Trial in Alleged $36M Accanito Fraud

January 13, 2026

FINRA Suspends Houston Broker for Unauthorized Loans Following Hurricane Harvey

January 11, 2026

FINRA Appoints Four Industry Leaders to Its Board of Governors

January 7, 2026

Cambridge Takes Minority Stake in AmeriFlex to Boost Succession Planning Platform

January 6, 2026

Carson Group Fully Acquires $395M Carson Wealth Location in Minneapolis

January 6, 2026

FINRA Fines Osaic Institutions $650,000 for AML Program Deficiencies

December 30, 2025