Lack of freedom and limited investment choices may be driving advisors at broker-dealers to leave their firms this year.

The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped.

LPL Financial (LPLA) announced that financial advisors Brian McGill, II, and Michael Hyser, have joined LPL Financial’s broker-dealer, RIA and ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to ...

The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker ...

On January 13, a broker-dealer agreed to pay over $40 million to settle SEC charges that it failed to properly supervise its employees in the sale ...

CFD Companies, home to a fully independent Broker/Dealer and RIA, announced key community building initiatives for 2025. Though the firm has experienced significant growth, it remains committed to ...

On Wednesday, the firm announced financial advisors Larry Forlenza and Carl Hanks, who previously oversaw nearly $430 million ...

As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced ...

Janney has named Tony Miller as its new chief executive, in the wake of the brokerage's acquisition by KKR last year.