Advisor Group’s Royal Alliance Recruits $168 Million Wealth Management Team

May 20, 2021

FSI Challenges DOL Independent Contractor Rule Withdrawal

May 17, 2021

Former Lincoln/LPL Rep Admits to Stealing More Than $600,000 from Elderly Client

May 14, 2021

Advisor Group’s Triad Advisors Recruits Father-Son Duo

May 12, 2021

FINRA Bars Former LPL Broker

May 11, 2021

SEC Bars Former Geneos Broker Who Pled Guilty to Selling Phony Humanitarian Investment

May 7, 2021

 Advisor Group’s Woodbury Financial Recruits $257 Million Team

April 30, 2021

FINRA Fines and Suspends Former LPL Broker for Borrowing Money from Client

April 30, 2021

Atria’s Cadaret Grant Recruits $2 Billion OSJ

April 29, 2021

SEC Obtains Final Judgment Against Broker Sentenced for Defrauding Retail Investors

April 23, 2021

Advisor Group’s Triad Recruits Two Pennsylvania-Based Wealth Management Practices

April 21, 2021

Atria’s Acquisition of SCF Securities Increases AUA to $95 Billion

April 12, 2021

FSI Launches Health Insurance Program for Financial Advisors

April 8, 2021

Former UBS Advisor Goes Indie with Prospera

March 19, 2021

Advisor Group’s Securities America Recruits Advisors from LPL and Mutual of Omaha

March 8, 2021

FINRA Fines Securities America for Violating Customer Privacy

February 25, 2021

Advisor Group Launches National Advisory Board

February 25, 2021

SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million Ponzi Scheme

February 23, 2021

Aurora Securities Names President and Chief Compliance Officer

February 23, 2021

FINRA Suspends Two Former Transamerica Reps for Designating Themselves as VA Beneficiaries

February 18, 2021