The unnamed rep recommended more than $2.1 million trades in certain mutual funds shares more appropriate for long-term use, according to FINRA, and Kovack Securities allegedly failed to spot the red flags.

The acquisition adds $830 million in AUM and a new retirement plan division with $489 million in AUA.

"I’ll be paying my loans until the end of time"

Tom Moran and his Naples, Fla.–based team sought to be fee-only and escape the constraints Wells Fargo placed on investment options and services he was able to offer his clients.

"Recovery Within Reach" is one of the nation’s first statewide initiatives focusing on advisors’ role in curtailing the opioid epidemic.

Thomas Barr joins Steward Partners Global Advisory following transition to multi-custodial Raymond James platform.

Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.

Small pricing discrepancies among wholesale market makers can have a large impact overall.

Sanctuary facilitated the tuck-in of The Alteri Group, a six-person Texas team fresh out of the wirehouse.