FINRA Outside-Activity Overhaul Spares Private Placement Oversight

September 21, 2026

SEC Would End Two-Year Compensation Timeout on Adviser Political Gifts

September 3, 2026

SEC Advances Rule to Open Private Markets to Retail Investors

September 2, 2026

SEC Wins $1.18M Default Judgment Over Fabricated Form ADV Disclosures

July 1, 2026

SEC Charges Chicago Adviser With Defrauding 28 Investors of $3.6 Million

June 8, 2026

SEC Settles With Alabama Adviser Over Failed Oversight in $2.6M GraySail Fraud

May 22, 2026

Former Morgan Stanley Adviser Convicted of Defrauding NBA Players

March 3, 2026

Adviser’s Widow to Pay More Than $3.8M for Husband’s Ponzi Scheme

August 20, 2025

SEC Charges Purported Investment Adviser With Making Document Misrepresentations

September 3, 2024

NexPoint Securities Hires New Managing Director of Institutional Products & Services

March 14, 2024

Capital Square Living Assumes Management of Multifamily Property in Alabama

March 14, 2024

Realta Wealth Hires Tim Bowman as Chief Financial Officer

March 13, 2024

Financial Advisor with $345 Million AUM Joins LPL Financial

March 13, 2024

SageView Advisory Group Acquires Indiana-based Palmer Retirement Consulting

January 16, 2024

Former Raymond James Advisor with $130 Million in Assets Joins LPL Platform

December 27, 2023

Cetera Completes Equity Reinvestment Transaction with Genstar Capital

December 26, 2023

Advisor with $450 Million in Assets Joins Cetera Financial Specialists

December 19, 2023

Two Advisory Groups with Combined $600 Million in Assets Join Arkadios Capital

December 15, 2023

Former J.P. Morgan Advisor with $148 Million in Assets Joins Cetera Financial Group

December 15, 2023

NewEdge Capital Group Recruits Add $9.6 Billion in AUM

December 13, 2023