Tagged with "Broker Consolidation"

Top Five Upward Concerns for Advisers in 2015

Posted on January 2nd, 2015 at 10:08 AM
Top Five Upward Concerns for Advisers in 2015

Financial advisers are serious about growing their businesses in 2015. On one side, they see plenty of opportunities for growth; on the another side, they also see the uncertainties, like broker-dealer consolidations, the possibility of increased regulation and the mixed blessing of multiple business models to choose from. 

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This was the best of all possible outcomes and I cannot thank you and the team enough.

Michael S.


December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.