The father-daughter team of Tom Kelly and Maureen Kelly in Lynwood, Washington, have moved to the Linsco employee channel at LPL Financial.
The firm failed to report positions to the Large Options Positions Reporting system in more than 7.4 million instances.
InvestmentNews' tech reporter, Ryan Neal, joins Bruce on the pod this week to talk through current major fintech deals and the tech conferences on his radar this fall. At the top of the list is the termination of UBS' acquisition of robo-adviser Wealthfront.
Advisers who help business-owner clients steer clear of possible tax traps in coming years will be performing a service unlikely to be forgotten.
Six long-time Merrill advisers in Oakland, California, and Savannah, Georgia, switch to LPL's employee unit, Linsco.
The Clemens McHugh Financial Consulting Group is joining the firm in Westlake, Ohio.
Pinnacle Private Wealth is based in Burlington, Massachusetts, and has a team of eight advisers.
Direct Advisors of Latham, New York, specializes in serving nonunion construction companies.
Acting Commissioner Kilolo Kijakazi outlined what the agency is doing to provide a safe environment for those waiting at the agency's offices.
Dusty Sternadel of Wichita Falls was fired for misappropriating funds, according to her BrokerCheck record.
