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

Stratos-Backed Brown Wealth Management Increases Client Assets to $1.2 Billion with Latest Acquisition

February 12, 2021

FINRA Fines Triad Advisors Over Supervisory Failures

February 11, 2021

Advisor Group Names President and CEO Of SagePoint Financial

February 10, 2021

Cetera to Buy Assets of Voya’s Independent Financial Planning Channel

February 9, 2021

Hilltop Securities Independent Network Changes Name

February 2, 2021

FINRA Bars Broker Accused of Referring Investors to Half-Brother’s Ponzi Schemes

January 29, 2021

Atria to Buy Sixth Independent Broker-Dealer

January 29, 2021

ADISA Names 2021 President, President-Elect and Officers

January 13, 2021

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

January 6, 2021

FINRA Fines and Suspends Former Broker for Falsifying and Forging Business Document

December 31, 2020

Concorde Investment Services Hires Due Diligence Officer

December 22, 2020

Department of Labor Issues Final Fiduciary Rule

December 16, 2020

FINRA Suspends and Fines Former Broker for Borrowing Money from Client

December 14, 2020

Raymond James to Buy $35 Billion Retirement Plan Administrator

December 11, 2020

FINRA Bars Longtime Broker for Selling Illegitimate Investments

December 10, 2020

Securities America Recruits Wealth Management Team from Ameriprise

December 9, 2020

ADISA Names 2021 Board of Directors

December 8, 2020

FINRA Fines and Suspends Former NYLife Broker for Forging Client Signatures

December 2, 2020