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Broker-Dealers

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MassMutual, Advisor Wage Court Battle Over Finra's Arbitration Jurisdiction

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A federal court is being asked to decide who should arbitrate the company's non-compete complaint against the former rep.

LPL Adds Ex-Cambridge Duo With $200M In Assets

by FA Staff

Timothy Heisterkamp and Max Neese operate Journey Financial in Jefferson, Iowa.

Ex-Advisor Indicted On Multimillion-Dollar Fraud Scheme

by FA Staff

Craig Allen of Atlanta used his hedge fund to scam investors of more than $7 million, prosecutors said.

Sanctuary Wealth Acquires Tru Independence, Creates $42B RIA Aggregator

by FA News

The transaction was negotiated over the last several months.

RBC Capital Fined More Than $700K For Finra Violations

by FA Staff

The firm must pay fines and restitution for violations on trade confirmations and customer credit.

LPL Snags $860M Dallas Team From Lincoln Financial

by FA Staff

LPL's recruitment of Dallas-based Strategic Wealth comes ahead of Lincoln's purchase by Osaic.

Ex-Ameriprise Advisor In Texas Gets 5 Years For Stealing $1.2M From Clients

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Dusty Sternadel tricked her mostly elderly clients into cutting checks that she deposited into her personal accounts.

Goldman To Bankers: No Sneaky Trips To Paris During Olympics

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The bank warned employees that trips to this year's Olympic city will be closely monitored.

Independent Insurance Brokers Most Impacted By DOL Rule, Attorney Says

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Unlike advisors, many broker and agents will be contending with fiduciary responsibilities for the first time.

New FTC Ban On Noncompete Agreements Raises Questions In Advisor M&A World

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The new rule could allow exiting advisors to actively recruit clients. IAA says it goes too far.

S.C. Advisor Pleads Guilty To Tax Evasion

by FA Staff

The IRS said he failed to account for $2.5 million in money shuffled in overseas accounts.

DOL Approves Final Fiduciary Rule

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The controversial rule expands the fiduciary requirements when clients are given advice on retirement account rollovers.

'Peak' Boomer Retirements Will Reduce U.S. GDP By 7.3% By 2030, ALI Study Says

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The financial services industry is projected to lose 761,000 experienced employees during the retirement wave.

TD Investors Meet As Probe, CEO Succession Fuel Frustration

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The bank's shareholders meeting comes as the firm contends with a probe into its anti-money-laundering controls.

Tiny N.J. Broker Behind Booming IPOs Is Back With 380% Blockbuster

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The firm's underwriting efforts have typically focused on Asian companies.

Finra Says It's Focusing On Repeat Offenders, Considering Higher Penalties

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"Bad actors" with a history of repeat violations will be a major priority, Finra's enforcement chief said.

SEC Targets Its Own Staff's Texting, Nixes WhatsApp On Work Phones

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The move follows about $3 billion in fines imposed on financial firms over private messaging.

Longtime LPL Exec Joins TIFIN As President, Chief Revenue Officer

by FA Staff

Rob Pettman will oversee growth strategies at the Boulder, Colo.-based technology incubator.

Morgan Stanley Downplays Regulator Queries Into Wealth Management Clients

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The inquiries focus on a wealth management arm that has swelled into Morgan Stanley's biggest business.

Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

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The groups, arguing the proposal has been rushed, asked government officials to get more public input.

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