The share price of LPL Financial Holdings Inc. increased 27% over the past year, even as the S&P 500 index fell 19.4%.
The Tiedemann/Alvarium merger had been cited as a standout by industry observers because of its focus on high-net-worth investors.
The regulator's penalties averaged $247,000 per firm, according to an InvestmentNews tally.
When aggregator Wentworth Management Services goes public by merging with a SPAC, Kingswood, sometime in the next few months, industry veteran Roth will serve as chairman.
Morgan Stanley was penalized for failing to catch excess sales charges and fees from mutual fund transactions between 2015 to 2021.
Take a look at what was on InvestmentNews readers’ minds over the past 12 months.
Using white out and other means, the rep doctored client financial information disclosure forms, according to Finra.
GWG was a 'classic Ponzi scheme,' according to a group representing investors.
Meanwhile, 2022 has been another excellent year for sales of alternative investments, according to the report from Robert A. Stanger & Co.
Cory Youmans, an adviser in Plano, Texas, snagged Judge’s historic 62nd home run of the season on Oct. 4.
