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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.

Goldman Sachs' success in operating remotely during the pandemic has persuaded members of the leadership team that they can move more roles out of the New York area to save money.