A recent capital infusion from LNC Partners will support continued growth for GCG Advisory Partners as a newly incorporated holding company focused on advisor succession.
While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.
Eileen Cure was terminated by LPL last summer after accusations of racism against Black job applicants. Now, she's suing the firm for almost $100 million, claiming it stole her clients illegally.
The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and, if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.