SEC Announces Record Year for Enforcement Dollars, Updates PAUSE List

December 2, 2024

Moomoo Financial Fined $750,000 for Misleading Social Media Marketing

December 2, 2024

LPL Adds Trio of Adviser Teams Totaling $740 Million in Assets

November 26, 2024

SEC Fines Three Broker-Dealers for Deficient Suspicious Activity Reports

November 25, 2024

FINRA Fines MML $700K for Supervisory Failures Related to Consolidated Reports

November 21, 2024

Drexel Hamilton, Reps Sanctioned $1.2M Total for Manipulating Municipal Bond Offerings

November 20, 2024

Florida-Based Credit Union With $2.8 Billion-Plus in Client Assets Joins Cetera Network

November 15, 2024

LPL Affiliate Lands Pair of Advisers Serving $540 Million in Client Assets

November 14, 2024

FINRA Seeks to Raise Financial Member Fees in 2025

November 14, 2024

Revolutionizing Financial Services With Private AI

November 14, 2024

Ex-Osaic Adviser With $410 Million in Assets Joins LPL Financial

November 13, 2024

Cetera Financial Group CEO Adam Antoniades to Retire in December

November 8, 2024

Morgan Stanley Dealt Major Blow in Deferred Compensation Suit

November 8, 2024

Kestra Affiliate With $300M AUM Adds Adviser, Rebrands as Riverside Private Wealth Management

November 8, 2024

Former Investment Adviser, Sentenced for Misappropriating Millions From Clients, Now Faces SEC Charges

November 7, 2024

FINRA Fines Concorde $130,000+ for Unsuitable GPB Capital Sales

November 6, 2024

LPL Adds Former Cambridge Team With $205 Million in Assets

November 5, 2024

FINRA Fines Morgan Stanley $1 Million for Market Access Violations

November 5, 2024

Aspen Standard Wealth Acquires $2.8 Billion AUM Summitry

November 5, 2024

LPL Financial Q3 2024 Earnings Per Share Up 16.5% Year-Over-Year

November 1, 2024