SEC Charges RIAs and Broker-Dealers over Improper ETP Sales

November 16, 2020

LPL Financial Adds Two Financial Advisors with $350 Million in Client Assets

November 16, 2020

LPL Financial Recruits $200 Million Family Team from Wells Fargo

November 9, 2020

Advisor Group’s Royal Alliance Recruits $975 Million Super OSJ

November 4, 2020

FINRA Adopts Rule to Limit Brokers from Being Named Customers’ Beneficiary

November 2, 2020

LPL Buys FinTech Firm for $12 Million

October 29, 2020

Gladstone Lists Series B Preferred Stock on NASDAQ

October 26, 2020

LPL Recruits Father-Son Advisors from Advisor Group’s KMS Financial

October 22, 2020

LPL Financial Recruits $1 Billion Hybrid from Cetera

October 20, 2020

SEC and FINRA to Host Online Forum on Regulation Best Interest Implementation

October 19, 2020

Advisor Group’s Royal Alliance Recruits Former ProEquities Team

October 16, 2020

Former Wells Fargo Advisor Goes Indie with Move to LPL

October 15, 2020

LPL Financial Hires Former Bank of America Exec as EVP and Chief Risk Officer

October 13, 2020

LPL Financial Adds $350 Million Credit Union Team

October 9, 2020

Advisor Group’s SagePoint Recruits Two Longtime Advisors from LPL Financial

October 8, 2020

LPL Financial Recruits $200 Million Team from Blucora

October 6, 2020

SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7 Million from Clients

October 5, 2020

LPL Financial Recruits Team from Advisor Group’s Securities Service Network

September 30, 2020

SEC and FINRA to Hold Roundtable on Regulation Best Interest and Form CRS

September 29, 2020

Ameriprise Recruits $500 Million Team from LPL Financial

September 29, 2020