Lack of freedom and limited investment choices may be driving advisors at broker-dealers to leave their firms this year.

LPL Financial (LPLA) announced that financial advisors Brian McGill, II, and Michael Hyser, have joined LPL Financial’s broker-dealer, RIA and ...

The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined ...

LPL Financial announced Wednesday that it has added Salient Wealth Planning Group, a Manhattan Beach, California-based advisory team, to its broker-dealer, RIA, and custodial platforms.

Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and ...

The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker dealers, mostly resulting from record-keeping failures. A combined $63.1 ...

Two brokerage units of investment firm Robinhood Markets have agreed to pay $45 million in combined civil penalties to settle a range of SEC violations arising from their brokerage operations ...

Ongoing work to potentially simplify the new issue disclosure submission process and discussion of dealer supervisory obligations will be among topics on deck at the Municipal Securities Rulemaking ...

Rob Pettman joins the Big Picture in Practice hosts to talk about the evolution of the broker-dealer landscape. What it was, what it has become, and what it could be down the line. You can listen ...