The Daily Brief

The SEC Enforcement Division's annual report also detailed how the regulator had dealt with the enforcement ramifications of the COVID-19 crisis.

After losing firms during its acquisition of Ladenburg Thalmann, Advisor Group has recouped some assets in the recruitment of Pacific Capital Resource Group in Bellevue, Wash.

Lou Pelliccioni, who spent 17 years with Wells Fargo Advisors, is joining LPL Financial with his son Brice and daughter-in-law Amanda.

The newly established Herold & Lantern Investments will include more than 60 professionals in offices in New York, New Jersey, Texas and California.

Based in Winter Park, Fla., WaterOak, now named Eaton Vance WaterOak Advisors, manages $2.3 billion in client assets.

Confluence Wealth Management, led by Kathleen Kee, gives Buckingham Strategic Wealth another foothold in the Pacific Northwest.

Steward Concepts, with $149 million in client assets, joins Ameriprise Financial in Rock Hill, S.C.

The new rule would demand that registered representatives would need written approval from their firm to act as a beneficiary, trustee or executor, or hold power of attorney for a client.

YCharts is introducing a new feature to help advisors and other users review actual decisions made to portfolios.

The new fixed income platform provides a tool set specific for the needs of independent advisors.