Scott E. Howell will join Gladstone Wealth Partners, a large enterprise of LPL Financial, and will start a new independent practice based out of its Chester, N.J., office.

A progress report released Monday identified five areas of study.

John Piccarreto was convicted for his role in defrauding approximately 400 investors out of about $18 million, according to the DOJ.

The deal with Castle Asset Management represents Miracle Mile’s first East Coast office and brings its total assets under management to $3 billion.

The new location will be the firm’s first office outside of the Atlanta metropolitan area, and will be led by two new managing directors who previously managed more than $1.5 billion in assets.

Jesse Brookreson and Brian Trymbiski will be joining Raymond James from Wells Fargo under the name Great Oak Investment Management of Raymond James.

Despite Reg BI's implementation, many broker/dealers continue to operate as they did under the suitability standard, according to a new NASAA report. But the group is advocating additional guidance in lieu of amendments to the SEC’s rule.