The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
A team of four advisers in suburban New York is making the switch.
The ‘Heart of Financial Planning’ award to go to Shawn Jacobson, Mark Prendergast, Celeste Revelli.
Tim Truebenbach will open an office for the LPL Financial unit in Tacoma, Washington.
Bruce and Jeff are joined by Chuck Failla of Sovereign Financial, who shares his own background as a breakaway RIA, his current success, and tips and tools to utilize when choosing a similar path.
Chuck Fuller and Brian Carney, co-founders of Tulsa-based Bridgecreek, will join Hub Mid-America with their team.
The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.
Scott LoPresti and Dean DiPierro, based in Croton-on-Hudson, New York, previously were affiliated with LPL Financial.
The planning veteran is being recognized for outstanding achievements in service to society, academia, government and professional activities.
Adrian John of Seattle, who managed $200 million, is affiliating with the firm's independent adviser channel.
