LPL Financial

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.