The top U.S. securities regulator on
Thursday filed civil fraud charges against a former LPL
Financial LLC adviser, charging he diverted some $2 million of
client funds to use for personal expenses....More
LPL Financial LLC must pay a total of $9
million for significant email system failures and making
misstatements to Wall Street's watchdog, the regulator said on
Tuesday....More
LPL Financial’s fourth quarter earnings were down slightly, but the news was overshadowed by an order to pay $2 million in restitution for improper sales of non-traded REITs....More
As markets reopened Wednesday following Hurricane Sandy, LPL Financial reported lower profits for the third quarter on lower advisor productivity, but higher assets....More
The pace of recruiting into the independent broker/dealer channel has slowed this year, defying expectations. New research from Cogent says that may soon change....More
Star advisor Erin Botsford, who leads a Frisco, Texas-based team with $560 million in assets, has jumped ship from Dewaay Financial Network to LPL Financial...More
This flawless, 101.7-carat, pear-shaped diamond—one of the world’s largest —will go up for auction at Christie’s “Magnificent Jewels” sale in Geneva on May 15, 2013. How much will it sell for? Choose the correct answer and registered site users will be eligible to win a one-year subscription to Christie's Geneva Jewelry sales catalogue, courtesy of Christie's.
Hey I just quit my job as an assistant to an FA (long story...)
Was thinking of going into the insurance side, and then use it as a leverage to get in the training program of a canadian bank on the investment side.
I talked to insurance agents at my old firm, commission seem to be comparable and the market larger yet it seems the investment side attracts far more applicants.
So what made you choose insurance over invesment? Did anyone make the transition from insurance to getting investment-liscenced properly?...More
Sales called backbone for business. I am sales person in one MNC so i need app to manage my tasks, work details please share with me if you have any app for sales. My friend Linda suggest me about top ipad Sales Assailant App ( Coming soon ) and other another apps. If you have any suggestion please share with me ..
thanks
steve...More