LPL Financial

Private Advisor Group is going through a CEO succession, while $2.5B firm CCR secured financing from the parent of its longtime brokerage.

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.

A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.

Separate announcements by Concurrent Advisors and Private Advisor Group display why flexibility for financial advisors is valuable to growing RIAs.

Podcasting, a killer website, great marketing and freedom to focus were among the reasons why the team left.

These are the largest firms with financial advisors who work with broker-dealers but aren't their employees.

A little-noticed change to "overflow" money will push down customers' yields at a time of rapidly rising interest rates — unless they opt out.

CEO Dan Arnold says the firm is eyeing continued records in its headcount, despite the usual dropoff in broker moves during downturns.

A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

The Financial Services Network viewed its relationship to LPL as a “dealbreaker.” So Marty Bicknell’s giant RIA is making room.

In the latest sign of big wealth managers displaying some flexibility, Marty Bicknell’s team unveiled another collaboration with a firm often considered a rival.

Announcements involving Fidelity, LPL, BNY Mellon and other well-known firms signal how talent and capital are shaping the industry's future.

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.