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Broker-Dealers

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News |Company |Broker-Dealers | Sep 21 2017

Massachusetts Regulators Charge SII with Improper Non-Traded REIT Sales

Massachusetts Regulators Charge SII with Improper Non-Traded REIT SalesSecretary of the Commonwealth of Massachusetts William Galvin has filed an administrative complaint against…

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News |Company |Broker-Dealers | Sep 21 2017

FINRA Bars Former LPL Broker for Corporate Credit Card Fraud

FINRA Bars Former LPL Broker for Corporate Credit Card Fraud The Financial Industry Regulatory Authority has barred a former LPL broker for allegedly stealing $16,300 by…

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News |Company |Broker-Dealers | Sep 20 2017

Cetera Names New Chief Marketing Officer

Cetera Names New Chief Marketing Officer  Cetera Financial Group, a network of independent broker-dealers, has appointed Michael Zuna as the company’s chief marketing officer,...

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News |Company |Broker-Dealers | Sep 19 2017

CFP Board Suspends Former Next Financial Broker Following Recent FINRA Bar

CFP Board Suspends Former Next Financial Broker Following Recent FINRA BarCertified Financial Planner Board of Standards Inc., a non-profit organization that administers the…

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News |Company |Broker-Dealers | Sep 18 2017

Former Sterne Agee CEO Joins American Portfolios as CFO

Former Sterne Agee CEO Joins American Portfolios as CFOAmerican Portfolios Financial Services Inc., a full-service independent broker-dealer, has appointed former president and…

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News |Company |Broker-Dealers | Sep 15 2017

Cathay Bank Leaves LPL to Rejoin Cetera Financial Institutions Platform

Cathay Bank Leaves LPL to Rejoin Cetera Financial Institutions PlatformCetera Financial Group, a network of independent broker-dealers, announced that Cathay Bank will transition…

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News |Company |Broker-Dealers | Sep 15 2017

FINRA Bars Former Lincoln Financial Broker for Perjury

FINRA Bars Former Lincoln Financial Broker for PerjuryThe Financial Industry Regulatory Authority has barred a former Lincoln Financial broker for giving false testimony during…

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News |Company |Broker-Dealers | Sep 14 2017

Derek Burke Named President and CEO of Advisor Group’s FSC Securities

Derek Burke Named President and CEO of Advisor Group’s FSC Securities FSC Securities Corporation, an independent broker-dealer and registered investment advisor, announced that…

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News |Company |Broker-Dealers | Sep 13 2017

Another Firm Leaves National Planning for Securities America

Another Firm Leaves National Planning for Securities America Securities America, the independent broker-dealer subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE:...

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News |Company |Broker-Dealers | Aug 31 2017

Triton Pacific Expands Sales Team with Two New Hires

Triton Pacific Securities, the managing broker-dealer for Triton Pacific Capital Partners’ retail focused private equity offerings, has hired Preston Nevins and Jace Roach to its…

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News |Company |Broker-Dealers | Aug 30 2017

Merrill Lynch Duo with $311 AUM Moves to LPL Hybrid Platform

LPL Financial, the nation’s largest independent broker-dealer, announced that Barton Spector Wealth Strategies has joined its broker-dealer platform and aligned with Stratos Wealth…

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News |Company |Broker-Dealers | Aug 29 2017

SEC Charges Dawn Bennett with Running $20 Million Ponzi Scheme

The Securities and Exchange Commission has charged former financial adviser Dawn Bennett with defrauding investors and spending their money on herself and to make Ponzi-like…

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News |Company |Broker-Dealers | Aug 25 2017

SEC Obtains Asset Freeze Against Former LPL Broker Charged with Stealing Client Funds

SEC Obtains Asset Freeze Against Former LPL Broker Charged with Stealing Client FundsThe Securities and Exchange Commission has obtained an emergency court order and asset freeze…

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News |Company |Broker-Dealers | Aug 18 2017

Cetera Adds $7.7 Billion Independent Broker-Dealer as Super OSJ

Cetera Financial Group, a network of independent broker-dealers, announced that one of its member firms, Girard Securities, will affiliate with Cetera Advisor Networks as an…

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News |Company |Broker-Dealers | Aug 16 2017

LPL Financial Buys National Planning Holdings

LPL Financial, the nation’s largest independent broker-dealer, has acquired the independent broker-dealer network of National Planning Holdings Inc. Advisors affiliated with NPH’s…

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News |Company |Broker-Dealers | Aug 16 2017

Securities America Recruits Kansas-Based Broker-Dealer With $340 Million in AUM

Securities America, the broker-dealer subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Olathe, Kansas-based broker-dealer Compass…

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Triloma Expands Senior Housing Advisor, Hires New Chief Investment Officer

Triloma Financial Group expanded its senior housing advisor, Triloma Senior Housing, with the hire of chief investment officer James Hendrix.  Prior to joining Triloma, Hendrix…

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News |Company |Broker-Dealers | Aug 14 2017

Amanda Teeple Joins Evolv Capital as Managing Director

Evolv Capital Partners LLC, a developer and distributor of direct alternative investments, has hired Amanda Teeple as a managing director. In her new role, she will be responsible…

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News |Company |Broker-Dealers | Aug 09 2017

Kestra Acquires H. Beck and $2.4 Billion AUM

Independent advisor platform Kestra Financial Inc. has acquired H. Beck Inc., an independent financial advisor with 600 reps and $2.4 billion in assets under management, from…

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News |Company |Broker-Dealers | Aug 09 2017

Securities America Raises $50,000 to Support Military Non-Profit

Securities America, the independent broker-dealer subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE: LTS), recently wrapped up a fundraising effort that netted…

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