The regulator says the firm failed to review more than 100 accounts for junk-bond concentrations.
Brett Moore will work in the firm’s Beverly Hills, California, office.
Pacific Edge Advisors constitutes a hometown acquisition for Beacon Pointe.
The agency says the firm distributed unregistered shares unlawfully and failed to file suspicious activity reports.
Lamont Financial Group operates from two bank offices in Mason City and Clear Lake, Iowa.
The deal for Cascadia Advisory Services will expand Mariner's presence in Portland, Oregon.
The principals of Charlotte, North Carolina-based Queens Oak Advisors, Leila Evans and Deems May, a former NFL player, will join MAI.
The principals of GRP Financial California will join Hub’s private wealth business.
Three registered representatives who collectively manage $345 million have joined Linsco, LPL Financial’s employee adviser unit.
InvestmentNews' Sean Allocca joins the podcast to chat with Bruce about some of the big acquisitions and hoped-for acquisitions in the wealth tech space. They go over Wealthfront as a possible buy target and Apollo's purchase of Griffin.
