Senate Confirms Elad Roisman as Fifth SEC Commissioner

September 6, 2018

SEC Charges Advisory Firm and Principal with Fraud for Associating with Barred Adviser

August 31, 2018

Securities America Recruits $650 Million Super OSJ Hybrid from LPL Financial

August 30, 2018

FINRA Bars Former PFS Investments Broker for Stealing $100,000 from Client

August 30, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors

August 21, 2018

SEC: Merrill Lynch to Pay $8.9 Million for Undisclosed Conflict in Advisory Decision

August 21, 2018

SEC Fines Ameriprise $4.5 Million for Failing to Prevent Theft by Five Brokers

August 16, 2018

Phoenix American Hospitality Hires Regional Vice President of Sales for the East Coast

August 16, 2018

FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary Gifts

August 13, 2018

FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year

August 10, 2018

SEC Charges Former UBS Broker in $4 Million Scam Targeting Brokerage Customers

August 10, 2018

FINRA Suspends Former Baird Broker for Borrowing $70,000 from a Client

August 8, 2018

FINRA Suspends Former Morgan Stanley Broker for Forging Client’s Loan Docs

August 1, 2018

IFP Adds Another Executive Ahead of Broker-Dealer Launch

July 19, 2018

NAPA President Named New Head of IFP Plan Advisors

June 28, 2018

Securities America Adds $222 Million Insurance Group to Its Platform

June 28, 2018

FINRA Bars Broker and Expels His Firm for Violating Suspension Terms

June 19, 2018

FINRA Bars Broker for Fraudulent Variable Annuity Exchange, Falsifying Documents

May 21, 2018

SEC Charges California Investment Adviser in Alleged Multi-Million Dollar Fraud

May 17, 2018

FINRA Suspends Former J.W. Cole Broker for Borrowing from Clients to Cover Gambling Losses

May 7, 2018