Cetera Financial Group

The judge declined the barred rep’s request for sentence reduction based on his “severe” bipolar disorder and restitution efforts.

The Financial Services Institute blasts the move and won't rule out legal action to reinstate the more favorable Trump-era regulation.

The enterprise could reach more than 50 registered representatives in the next couple of months, depending on how many of them leave MassMutual.

After appointing the committee and starting a new conference series, co-chairs Fanci Worthington and Stephen Oliver are asking all advisors to get involved.

Financial advisor Jacqueline Campbel led a diversity program at her old firm and has ambitious expansion goals for her new one after 25 years in the industry.

The IBD network added a community bank’s investment program after exceeding the goals it set at the beginning of 2020, its head recruiter says.

The rep reeled in at least a dozen victims to the complex scam even though he was suspended from the industry for a different case, according to investigators.

Ascensus sold the practice with four reps and $490 million in client assets after acquiring it two years ago.

The private equity-backed firm’s deal could tack on some 900 advisors to its ranks.

New hires come at a moment of heightened competition for talent industrywide.

Despite the credit-positive reading by one agency, the IBDs are competing against less leveraged rivals.

The founding partners of the 300-advisor OSJ will remain in their current roles for three years under the same structure as before the deal.

Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.

In a surprise announcement, Private Advisor Group tapped Moore as CEO nearly two years after he left Cetera for undisclosed medical reasons.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

The No. 1 IBD is keeping up the recruiting momentum that’s sustaining record headcounts and billion-dollar moves.

Genstar Capital Managing Partner Tony Salewski spoke openly with advisors about the firm’s investment strategy for the IBD network.

The number is behind previous years, but the firm’s new head of business development says independence is more appealing amid the coronavirus.

The broker hasn't been registered in over a decade, and was using clients’ usernames and passwords to make trades in their self-directed brokerage accounts, according to the regulator.

Grappling with margin pressure, consolidation and fragmentation, the sector questions its identity.