SC Distributors Hires Senior Regional Vice President for its Central U.S. Territory

July 25, 2019

LPL Financial Recruits Former Kestra Group with $500 Million in Client Assets

July 23, 2019

ExchangeRight Adds Internal Wholesaler Scott Peterman to Sales Team

July 22, 2019

Pacific Oak Capital Names Chief Financial Officer

July 19, 2019

IFP Hires Former Cambridge Exec as New Chief Compliance Officer

July 18, 2019

Summit to Drop Broker-Dealer Status and Join Another Cetera Firm

July 15, 2019

SEC Bars Longtime MetLife Broker for Stealing from Clients’ Insurance Policies

July 15, 2019

Voya Launches Robo-Advice Platform

July 12, 2019

FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

July 9, 2019

SC Distributors Names Vice President of National Accounts

July 9, 2019

LPL Financial Recruits $1.1 Billion Team from Raymond James

July 3, 2019

Purshe Kaplan Pays $9.5 Million to Settle Native American Tribe’s Unsuitable REIT Purchase

June 27, 2019

Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and Late Filings

June 27, 2019

ExchangeRight Expands Sales Team with Hire of Veteran SVP

June 24, 2019

FINRA Bars Former Cetera Advisors Rep

June 20, 2019

Former Cetera Team Returns to LPL

June 19, 2019

Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

June 18, 2019

FSI Comments on New Jersey’s Proposed Fiduciary Rule

June 17, 2019

Atria Wealth Solutions Adds General Counsel to Executive Team

June 17, 2019

FINRA Bars Former LPL Rep

June 14, 2019