LPL Financial

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

Laura LaTourette and Ramona Maior are teaming up with the goal of connecting with more planners and allies who share common experiences.

A major recruiting move and a large acquisition reflect a marketplace that experts say hasn’t been negatively affected by volatility, inflation or rising interest rates.

The wealth programs in the channel are going through a significant shift amid major recruiting moves and consolidation, according to a consultant’s report.

Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.

Teams are taking longer to switch brokerages as the pandemic recedes and advisors return to the office, according to John Pierce, the firm’s head recruiter.

Two major hybrid RIAs using LPL as their brokerage are joining forces after the acquiring firm received an investment from Merchant.

A trio of advisors dropped Wells Fargo as practices choose between staying with wirehouses or joining the RIA movement.

Several of Cure’s staff have allegedly resigned since the comments came to light.

Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.

Eileen Cure allegedly wrote in a Skype message that she is not prejudiced but she does not want to interview Black applicants.

Financial advisor Alan Kodama’s team aligned with the No. 1 IBD as it reeled in $35 billion in recruited client assets in the second quarter.

The nation’s largest independent broker-dealer aims to boost expansion even more, and it’s not ruling out launching its own bank.

Banks and other institutions are driving significant recruiting moves while aiming to convince more members and clients to sign up for financial advice.

Timothy Hamano is accused of fatally striking a pedestrian and then fleeing the scene, leaving his wife, also injured, and the pedestrian behind.

The No. 1 IBD added to its record headcount with the third billion-dollar move it unveiled in a two-week span.

Most credit unions don’t offer planning services, and affiliating with the No. 1 IBD could help CUNA Brokerage change that, the firm’s president says.

The multigenerational practice decided it was time to make the move.