Practice

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

Ladenburg Thalmann's largest firm has added at least five teams in the wake of recent acquisitions by rivals.

The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.

Former retail brokerage head David Kowach is moving to the consumer bank.

“Do yourself a favor and start saving early,” an expert says.

At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.

From curating trips to Italy to designing their own software, these planners found creative ways to deepen existing client relationships and make new ones.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

The freshly recapitalized firm is offering succession services without any custodial or affiliation requirements.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.