Advisor Group to Buy $30 Billion Broker-Dealer

May 20, 2022

SEC Bars Adviser Accused of Defrauding Elderly Client

May 16, 2022

SEC Obtains Judgment Against Adviser Accused of Defrauding Elderly Client

May 10, 2022

Preferred Capital Securities Hires SVP of Customer Experience

May 9, 2022

LPL Reports First Quarter 2022 Results, Broker Count Exceeds 20,000

May 2, 2022

SEC Charges Dually Registered Broker with Operating Ponzi Scheme

April 25, 2022

LPL Financial Recruits $120 Million Father-Daughter Team

April 25, 2022

SFA Partners Names EVP and Chief Operating Officer

April 22, 2022

Advisor Group’s Triad Recruits Gallagher’s $6 Billion Retirement Consulting Practice

April 12, 2022

CI Financial Plans IPO to Take U.S. Wealth Business Public

April 8, 2022

Former LPL CIO Joins Carson Group as Managing Partner and Chief Strategy Officer

April 7, 2022

Morgan Stanley to Sell $15 Billion Eaton Vance RIA Business to CI Financial and Pathstone

April 1, 2022

City National Rochdale to Pay $30 Million to Settle SEC Charges over Undisclosed Conflicts

March 7, 2022

The AmeriFlex Group Adds Three Wealth Management Practices Overseeing $721 Million

March 4, 2022

SEC Charges Cambridge with Failing to Disclose Conflicts over Mutual Fund Selection

March 3, 2022

Advisor Group Adds Three Industry Executives to Team

February 24, 2022

CI Financial to Acquire $5 Billion Wealth Management Firm

February 23, 2022

LPL Financial Recruits $1 Billion Team from Wells Fargo

February 22, 2022

SEC Charges and Fines 12 More Firms for Failing to Meet Form CRS Obligations

February 16, 2022

LPL Recruits Father/Son Advisor Team from Raymond James

February 10, 2022