LPL Financial

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

With $4.4 billion in client assets, the regional institution's wealth program follows mega-recruits including M&T Bank, BMO Harris and others.

The new employee model, appealing to high net worth advisors, is a step in the independent broker-dealer king's plans to scale up to ultra-high net worth clients.

The deal valued at $140 million plus earnout payments will enable the No. 1 IBD to tap into an OSJ's growth while remaining its brokerage, custodian and RIA.

The firm is also trying to upgrade its services for advisors through new digital chatting tools to get in touch with the corporate office without any phone calls.

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.