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Broker-Dealers

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News |Company |Broker-Dealers | Jun 23 2017

S2K Continues Hiring Spree with Addition of Former LPL Marketing Head

S2K Financial Holdings, the holding company for independent broker-dealer S2K Financial, named Melissa Socci to the newly created position of chief marketing officer for S2K…

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News |Company |Broker-Dealers | Jun 22 2017

Cetera Recruits Firm with $800 Million AUM

Cetera Financial Group, a leading network of independent firms, recruited HBW Partners to Cetera Advisor Networks, and one of its member firms. To facilitate this transition, HBW…

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News |Company |Broker-Dealers | Jun 21 2017

Arete Appointed as Managing Broker-Dealer of IGF Real Estate Investment Fund

Arete Wealth Management, an independent broker-dealer and registered investment advisor, was appointed as the new managing broker-dealer for IGF Investment Grade Fund I LP.  IGF…

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News |Company |Broker-Dealers | Jun 20 2017

Griffin Capital Securities Names New Chief Executive Officer

Griffin Capital Securities LLC, the captive broker-dealer and distributor of products sponsored by Griffin Capital, has named Mark Goldberg as the company’s new chief executive…

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News |Company |Broker-Dealers | Jun 20 2017

MVP American Securities Names New Managing Director of Capital Markets

MVP American Securities, an independent broker-dealer based in Las Vegas, promoted Brandon Welch to managing director of capital markets to oversee the company’s sales and national…

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News |Company |Broker-Dealers | Jun 19 2017

North Carolina Advisory Jumps from Ameriprise to LPL

LPL Financial LLC, a leading retail investment advisory and independent broker-dealer firm, announced that Socratic Wealth…

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News |Company |Broker-Dealers | Jun 14 2017

Black Box Pension Advocates Joins LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Cleveland-based Black Box Pension Advocates has joined its broker-dealer platform and aligned with…

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News |Company |Broker-Dealers | Jun 14 2017

Mercer Advisors Names New CEO

Mercer Advisors Inc., a registered investment advisor firm based in Santa Barbara, California, appointed Dave Welling as chief executive officer as part of a planned leadership…

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News |Company |Broker-Dealers | Jun 14 2017

Arete Helps Fund Sports Tech Company

Digital Golf Technologies, a start-up sports tech company, has completed its initial series of capital and secured $4 million in capital funding for the company.  Funding came…

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FINRA Bars Former Guggenheim Rep for Submitting False Expense Reports

The Financial Industry Regulatory Authority has barred a former Guggenheim Securities representative for allegedly submitting false expense reports that contained material…

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News |Company |Broker-Dealers | Jun 13 2017

Holly Street Wealth Advisors Joins Tru Independence Platform

Holly Street Wealth Advisors, an independent SEC-registered investment advisor based in Pasadena, California, has joined the Tru Independence RIA platform.  Holly Street Wealth…

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News |Company |Broker-Dealers | Jun 12 2017

Triad Advisors Hires Cetera’s Former Chief Compliance Officer

Triad Advisors Inc., a hybrid independent broker-dealer, announced that industry executive Bernie Breton joined the company as chief compliance officer.  Breton has spent nearly…

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FINRA Fines Ameriprise Rep for Unsuitable MLP Investment

The Financial Industry Regulatory Authority fined 22-year Ameriprise veteran advisor Geraldine Gordon for recommending a client invest half of her liquid net worth into a…

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News |Company |Broker-Dealers | Jun 09 2017

Houston-Area Adviser Pleads Guilty in $1.9 Million Fraud

Lawrence Allen DeShetler, an investment adviser and certified financial planner in The Woodlands, Texas pleaded guilty to mail fraud in U.S. District Court in Beaumont, Texas. ...

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News |Company |Broker-Dealers | Jun 08 2017

Cetera to Utilize Facial Recognition Software for Financial Advisors and Clients

Cetera Financial Group, an independent broker-dealer network, is launching a new facial recognition software named Decipher to be used by its financial advisors and their clients…

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News |Company |Broker-Dealers | Jun 07 2017

LPL to Limit Fees on Non-Traded REITs and BDCs

LPL Financial, the nation’s largest independent broker-dealer, is limiting sales commissions on certain illiquid investments in preparation for the Department of Labor’s fiduciary…

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News |Company |Broker-Dealers | Jun 07 2017

Texas Securities Board Fines Firm for Falling for SPAM Emails

The Texas State Securities Board has fined and reprimanded a Chicago-based securities dealer whose compliance officer repeatedly wired funds to individuals pretending to be a…

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Former Ameriprise Advisor Sentenced to 5 Years for Fake REIT Scheme

An Ohio financial advisor was sentenced to 60 months in prison for an investment fraud scheme that bilked his clients out of more than $1.1 million. According to court documents,...

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News |Company |Broker-Dealers | Jun 02 2017

S2K Financial Expands Sales Team with Four New Hires

S2K Financial, a wholesale broker-dealer, has hired Brendan McLaughlin, Kurt Gunderson, Felix Vera, and Michael Roman to its sales team. McLaughlin, who is based in Texas, serves…

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SEC Engages in DOL Fiduciary Rule Debate, Seeks Public Comment

The Securities and Exchange Commission is entering the fiduciary rule debate and seeking the public’s input on standards of conduct for investment advisers and broker-dealers when…

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