by
Jennifer Lea Reed
Reuben L. Brown of Texas refused to appear over allegations he invested client money outside the firm.
by
Tracey Longo
Advisors need to guard against emotional decisions by clients, they said.
by FA Staff
The agreement gives Ashton Thomas Securities advisors more capabilities, BNY Mellon's Pershing said.
by FA Staff
The Lexington, S.C.-based firm brings $240 million in client assets to Osaic.
by FA Staff
Christopher Kirk previously spent two decades at Wellington Management.
by
Tracey Longo
Schwab, Fidelity and financial industry trade groups said the move is long overdue.
by FA Staff
Endeavor Wealth Strategies of Fort Wayne, Ind., has aligned with LPL affiliate Exemplar Financial Network.
by
Tracey Longo
Julie Su's work to limit independent contractors has drawn criticism from advisor groups.
by
Edward Hayes
The broker has also dropped a $5 million account minimum that was tied to the program.
by
Tracey Longo
State regulators filed three times the enforcement actions against RIAs as brokers, NASAA reported.
by FA Staff
Continuity Private Wealth is led by James Debuque and Timothy M. Baltz, who have been partners for nearly 15 years.
by
Christopher Williams
The former Hightower advisor argues that the clause is "illegal" and "unenforceable."
by FA Staff
Anderson McKelvey Group is operated by Jesse Anderson, Christopher McKelvey and Anthony Gilotti.
by
Tracey Longo
The company said in its annual report that the details of the fine are still under discussion.
by FA Staff
Wintrust has agreed to move two of its wealth management units to LPL's platform early next year.
by
Karen DeMasters
Pettinelli Financial Partners joins Stratos from Osaic. The firm's founder sought a succession plan.
by FA Staff
The new certification is meant to get members thinking about clients' 401(k) income.
by
Tracey Longo
The exemption would be granted to salespeople who do not present themselves to clients as advisors, he said.
