The fine pertained to excessive and unauthorized trading and overcharged commissions, and the harmed investor was former Gov. Craig Benson, according to CNBC.
Mahoney transitions from interim CEO to a permanent position, taking the reins after former CEO's abrupt departure.
Waddell & Reed doesn’t bring scale to LPL but rather a financial planning-focused group of advisors best poised to take advantage of what the larger firm can offer, says LPL Head of Recruiting Rich Steinmeier.
Rosemont Financial Group sought a new home with "enhanced technology."
Magnolia Wealth Advisors will be Snowden Lane’s 12th office, and the new addition will put the company over $6 billion in assets under management.
What to give and/or get in a year unlike any other.
