Secretary Acosta Says DOL Will Release New Fiduciary Rule in Conjunction with SEC

May 2, 2019

Capitol Securities Recruits Former Stifel Team

April 29, 2019

LPL Financial Adds Former Morgan Stanley Advisor

April 26, 2019

FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

April 25, 2019

Ladenburg Names Veteran Executive to Senior Vice President of Enterprise Services

April 25, 2019

Securities America Recruits Team with $200 Million in Client Assets

April 25, 2019

SEC Charges Brokerage Assistant with Stealing Funds from Elderly Clients

April 22, 2019

Securities America Advisors Can Now Use Instagram for Social Media Marketing

April 22, 2019

LPL Financial Hires EVP to Focus on Advisor Relationships

April 17, 2019

SEC and FINRA Schedule National Compliance Outreach Program for Broker-Dealers

April 17, 2019

New Jersey Proposes Fiduciary Rule

April 16, 2019

SEC Charges Former Directors of Woodbridge Ponzi Scheme with Fraud

April 15, 2019

FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable Life Insurance Policy

April 15, 2019

LPL Adds Former Voya Team to Platform

April 12, 2019

FINRA Fines Former Growth Capital Services Broker for Allegedly Forging CEO’s Signature

April 11, 2019

KMS Financial Services Names New Chief Executive Officer

April 8, 2019

Former Foresters Financial Hybrid Team Joins LPL Financial

April 5, 2019

LPL Financial Adds $120 Million Team to BD and RIA Platforms

April 1, 2019

SEC Bars Former Questar Rep Serving Time for 15-Year Ponzi Scheme

March 28, 2019

Securities America Recruits Former Ameriprise Group with $459 Million in Client Assets

March 22, 2019