In a good sign for the industry, recruiting came roaring back in the third quarter for LPL Financial, which added 154 net new registered reps and advisers. CEO Mark Casady says recruits came 'from all over.'
Joins Cetera CEO Valerie Brown in ranks of women running top broker-dealer networks.
Larry Roth splits Advisor Group to join Nick Schorsch's B-D, marking the latest step in American Realty Capital's expansion beyond nontraded REITs. Bruce Kelly has the story.
Four top officials of DBSI — one of the big-three private placement firms — have been charged with fraud. Bruce Kelly supplies the details.
Independent broker-dealer Berthel Fisher & Co. Financial Services Inc. scored a victory this month in an arbitration over an investor seeking $934,000 in restitution for investing in a real estate deal involving an office building in Minnesota.
B-D that was part of Massachusetts settlement is now facing questions from Pennsylvania
Former LPL executive says taking time off to recharge.
That's how a forensic accountant described the financial condition of superstar adviser Don DeWaay, who today agreed to a $3M settlement with investors.
Firm hires Craig Gordon, former head of clearing at RBC Capital, to lead the effort.
Pretax income up 44%, while revenue climbed 12%.
