According to the commission, Alexandra H. Cock and her firm, Wealth Plus, raised more than $2.5 million in securities in two real estate investment management companies that defrauded investors of millions of dollars.
LPL's head of advisor M&A discusses what is driving the recent frenzy in mergers and acquisitions, what to look for in buyers or merger partners, and the best post-transaction practices to ensure a successful integration.
In the first quarter, LPL added 215 advisors and $18 billion in net new assets, even as total assets dropped alongside lower equity markets.
Hwang, the billionaire behind Archegos Capital Management, is facing 380 years in prison.
The Advisor Practice Exchange Program (APEX), now available to the firm’s 165 advisors, will match buyers and sellers both inside and outside the Prospera network.
