LPL Completes Acquisition of $100 Billion-Asset Atria Wealth Solutions

October 2, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

Commonwealth Adds $600 Million Ex-Lincoln Pair to Its Aegis Affiliate

September 27, 2024

LPL Financial Recruits Firms Serving Greater Than $1 Billion in Assets From Wedbush and Osaic

September 26, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

FINRA Fines Wedbush More Than $550K in Separate Incidents

September 23, 2024

Metric Financial Appoints Seasoned Exec Andy Marshall as Head of Capital Markets

September 20, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

Madison Capital Markets Names Former Hines Vet to Helm Southeastern Sales

September 17, 2024

LPL Adds Ex-Ameriprise Team Serving $650 Million in Assets

September 16, 2024

FINRA Sanctions Wells Fargo Clearing Services Nearly $3 Million for Short-Term Trading Abuses

September 16, 2024

Kestra Financial Grows Partnership With iCapital to Enhance Advisers’ Alts Offerings

September 13, 2024

Sponsored: Tapping into Disruptive, Late-Stage Private Innovation Companies

September 12, 2024

Ex-BofA Pair With $700 Million in Assets Joins LPL to Launch BrookBridge Private Wealth

September 11, 2024

Odeon Capital Group Fined $250K for Supervisory Lapses in SPAC Offerings

September 11, 2024

FINRA Sanctions Newbridge Securities Again for Lax Protocols, Supervisory Lapses

September 9, 2024

Kestra Subsidiary Bluespring Wealth Partners Announces Jayaraman as President

September 5, 2024

Colony Capital Investment Advisors Fined $350K for Undisclosed Affiliate Deals

September 5, 2024

LPL to Acquire The Investment Center, Serving $9 Billion in Assets

September 4, 2024