FINRA Fines Cadaret Grant $200,000 Over Rep’s Alleged Ponzi Scheme

July 8, 2020

Securities America Recruits Credit Union Team from LPL

July 8, 2020

LPL Financial Recruits Former Wells Fargo Team

July 7, 2020

LPL Financial Recruits $210 Million Team from Wells Fargo

July 2, 2020

Cetera Hires Head of Business Development to Bolster Recruiting Efforts

July 1, 2020

XY Planning Network Considers Further Legal Challenges to SEC’s Regulation Best Interest

June 30, 2020

LPL Financial Recruits $530 Million Hybrid

June 30, 2020

SEC Bars Former LPL Advisor Over Fake African Charity

June 29, 2020

LPL Financial Recruits Financial Advisor with $120 Million in Client Assets

June 26, 2020

LPL Financial Recruits Former Securities America Team

June 25, 2020

LPL Recruits Father/Daughter Team

June 19, 2020

Ray Lucia Settles with SEC, Ending Nearly Decade-Long Saga

June 18, 2020

Advisor Group’s Royal Alliance Recruits Longtime HSBC Financial Advisor

June 17, 2020

SEC Charges Former Raymond James Broker for Allegedly Stealing $1 Million from Seniors

June 15, 2020

FINRA Orders SagePoint to Pay $1.6 Million for Alleged Unit Investment Trust Violations

June 12, 2020

LPL Financial Adds $370 Million Former Wirehouse Team

June 9, 2020

SEC Bars Former LPL Broker

June 4, 2020

DOL Takes Another Step Towards Revised Fiduciary Rule

June 3, 2020

LPL Financial Recruits $400 Million Team from Securities America

June 3, 2020

FINRA Orders Stifel to Pay $3.6 Million for Alleged Unit Investment Trust Violations

June 1, 2020