Securities America
Advisor Group to Acquire Ladenburg in $1.3 Billion Deal
New company will preserve the nine brokerage brands and multi-clearing model for Ladenburg and Advisor Group’s almost 11,500 independent brokers.
Fidelity Pursues New York City Broker Who Left for RIA
Judge grants order restricting WealthPlan Advisors and new advisor who Fidelity Brokerage accused of illegally soliciting clients before and after resigning.
Finra Suspends Do-It-Yourself Broker Over Unauthorized E-Mails
Independent broker in California who allegedly conducted customer business via personal e-mail for more than four years and created incomplete account performance summaries on Excel is barred and fined.
Securities America, PNC, Geneos to Pay $15 Million for Mutual Fund Violations
The Securities and Exchange Commission cites share-class and failure-to-disclose improprieties, and reminds firms that they can receive favorable settlement terms if they self-report fund sales violations.
