Some customer complaints went unreported, and many mutual fund purchases were not reviewed, according to the self-regulatory organization.
"I have small firm roots, just look at my dad," Jodie Papike said.
The broker-dealer giant's new chief advocacy officer boasts more than 25 years of experience in government relations lobbying for financial services companies.
RBC Wealth Management’s latest hires in Pennsylvania and Virginia reportedly managed $801M in client assets combined.
The group led by a trio of advisors is joining the firm’s independent advisor channel in Colorado.
The IBD’s newest advisor addition arrives via a new offering to its national network of community financial institutions.
"The appetite by financial advisors for private equity funds is super high right now," says one industry executive.
United Planners' Financial Services of America failed to supervise its salesman, according to Arizona.
The moves boost the authority of Tim Hodge and Dimple Shah in Osaic's management structure.
The $140M advisor from Benjamin F. Edwards joins Raymond James Financial Services with around two decades of experience.
Why is this firm losing senior female executives, questions industry source.
Are firms hiding the price tag, or are clients simply not paying enough attention? Either way, these accounts are now on everyone's radar.
The advisory teams formerly with Lincoln Financial's wealth unit are uniting into a planning supergroup of more than 30 advisors.
The longtime Avantax president has been elevated to his new role as the broker-dealer giant looks ahead to its next growth phase.
"Highly leveraged wealth managers face the greatest competitive risk from an increase in rates paid to clients," according to Moody's.
"We're seeing more instances of clients being switched out of annuities," says one plaintiff's attorney.
"If they do something quickly to stabilize the firm they should be fine," one industry executive said about B. Riley Financial.
The broker-dealer giant is shuffling the leadership within Raymond James & Associates as part of its broader seismic reorganization.
The tax-focused Cetera subsidiary’s latest add in Northern California comes after overseeing $60M at LPL.
The Atlanta-based team originally with Lincoln Financial provides planning with a focus on retirement strategies for mass-affluent clients.
