Interactive Brokers Fined $2.25 Million for Free-Riding Violations

December 30, 2024

Former Broker Refuses to Comply with FINRA Requests, Barred for Alleged Misconduct

December 30, 2024

Deutsche Bank Securities Agrees to $4M Settlement for Untimely SARs Reporting

December 26, 2024

SEC Adopts Amendments to Broker-Dealer Customer Protection Rule

December 26, 2024

Colorado-Based Investment Manager Accused of Misusing Opportunity Zone Funds

December 25, 2024

J.P. Morgan Securities to Pay $3 Million for Short Interest Reporting Violations

December 25, 2024

Cetera Names New Presidents to Wealth Management and Solutions Divisions

December 23, 2024

Wells Fargo, LPL Financial Fined $900K Each for Inaccurate Reporting

December 23, 2024

FINRA Hits UBS With Nearly $3.5M Penalty for Unsuitable Short-Term Trading of Syndicate Preferred Stocks

December 19, 2024

Commonwealth Adds Two Former Osaic Firms With Nearly $500 Million in Assets

December 18, 2024

LPL Adds Former Osaic Team With $540 Million in Client Assets

December 17, 2024

Former Western International Broker Settles SEC Charges for $2.1 Million

December 11, 2024

Bridge Investment Group Adds Trio to Enhance Wholesaling Efforts

December 10, 2024

SEC Fines Unregistered Rep for Role in $122 Million Oil & Gas Scheme

December 10, 2024

SEC Fines Morgan Stanley $15 Million for Enabling Millions in Adviser Theft

December 9, 2024

Kestra Private Wealth Services Adds $427M Ohio-Based Arc Private Wealth

December 9, 2024

Minnesota Firm With $96 Billion in Assets Disaffiliates With LPL

December 9, 2024

LPL Adds Community Service-Oriented Team With $550M in Client Assets

December 9, 2024

CAIS Updates Designed to Accelerate Advisers’ Alts Adoption

December 5, 2024

Cetera Enters Agreement to Grow Wisconsin-Based Investment Services Program

December 3, 2024