State regulators said the firm did little to stop a broker from short-term trading in mutual funds with front-loaded fees
Mark Lamkin borrowed $1.3 million from a client and didn't disclose it, according to the regulator
Patrick Coogan signed bank ‘control agreements’ for a customer's loans without authorization
Neil Goetzman and Jeffrey Nau set up eponymous business in Alexandria, Va.
The network realigns management after its acquisition of Ladenburg Thalmann
The four-person Horizons Financial Group is based in Birmingham, Ala.
The forgivable SBA loans could save some small businesses, or help support the bottom line of fee-based advisers
Advisory firms headed into this year’s market turmoil with happy customers, according to J.D. Power's latest survey of investors' satisfaction with their advisers
The independent broker-dealers that reported the highest revenue in 2019
The independent broker-dealers that posted the biggest growth in 2019
Shawn Walton, Debbie Hawksworth and Richard Coloni are joining OSJ Synergy Wealth in Central Florida
The independent broker-dealers that paid the most in 2019
LPL, Cetera and Advisor Group are bellwethers for the independent broker-dealer industry
The firm will be open for advisers' business on Saturdays, too
The firm is one of many in the brokerage industry making changes to work policies in response to the coronavirus
IBDs sold more than $22 billion of the high-commission product over the past decade
The company told investors in November that a required audit was being postponed
Triad Advisors reported three new investor claims related to the sale of the private placements
The four-adviser group is leaving Northwestern Mutual Co.
An open letter to the advisory industry from Richard Lampen and Adam Malamed
