LPL Financial Up to Nearly 22,000 Advisors

August 1, 2023

SEC Charges Former Cetera Rep with Defrauding Elderly Investor of $2.4 Million

August 1, 2023

FINRA Censures and Fines Concorde Investment Services Over Improper Private Placement Sales

July 31, 2023

FINRA Censures and Fines LPL Financial $3 Million

July 27, 2023

Former Merrill Lynch Advisors with $425 Million in Assets Joins LPL Financial

July 27, 2023

LPL to Acquire Crown Capital Securities

July 26, 2023

SEC Obtains Final Judgments Against Ponzi Scheme Operators

July 25, 2023

Former Wells Fargo Advisors with $245 Million in Assets Join LPL Financial

July 25, 2023

SEC Resolves “Saivian” Ponzi Scheme

July 24, 2023

Syracuse Wealth Management Joins LPL Financial

July 24, 2023

FINRA Orders Worden Capital to Pay $1.6 Million for Unsuitable REIT Investments

July 21, 2023

FINRA Bars Multiple Advisors for Refusal to Provide Information

July 21, 2023

Former Voya Advisor with $470 Million in Assets Joins Cetera Financial Group

July 21, 2023

SEC Charges Twice-Convicted Fraudster and Five Others with $38 Million Ponzi Scheme

July 20, 2023

Former Edward Jones Advisor with $235 Million in Assets Joins LPL Financial

July 20, 2023

SEC Establishes Plan of Distribution for Fraud Case Related to HCR Wealth Advisors

July 19, 2023

Former Avantax Advisor Joins Cetera

July 19, 2023

Former Cetera Advisors with $200 Million in Assets Join LPL Financial

July 18, 2023

FINRA Charges Advisor After Unsuitable Alts Recommendations

July 17, 2023

Former Northwestern Mutual Advisor with $28 Million in Assets Joins Cetera Financial

July 17, 2023