At the end of April, The Retirement Planning Group had 14 advisors and 40 employees.
The lawsuit seeks $150 million in damages from the radio host over ads for a timeshare exit business that listeners say failed to extricate them from timeshare contracts.
Park Avenue Securities fell short in its supervision of a rep who helped operate a cannabis business, the regulator says.
Barry Simmons is at least the third senior wealth management executive Wells Fargo has hired in the last few years from JPMorgan.
Irvine-based JRL Capital Corp. reported total assets of $43,000 and total investor claims against the firm of $2.5 million.
Austin Dutton last week lost an industry arbitration claim of $43,645 to a client related to sales of GWG bonds.
The upgrade reflects Advisor Group's declining leverage levels and higher net yields on cash sweep deposits, according to the rating agency.
In a Q&A, the Advisor Group CEO discusses what's involved in squeezing the giant operation under one broker-dealer roof and brand.
The breach involved 'a systems intrusion' at R.R. Donnelley, a third-party vendor that Advisor Group uses for some of its client mailings.
Nontraded real estate investment trusts reported $485 million of sales in April, the lowest level since August 2020, according to Stanger.
