Advisers at an independent broker-dealer with $200 million in client assets has joined Stifel Financial Corp.
Three financial advisers, Robert W. Anderson, Michael R. Anderson and Laurie Anderson, part of The Anderson Financial Group, will be based out of Stifel's Madison, Wis., office. The trio h
Learn more about reprints and licensing for this article.
Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.
In addition, Voya Financial and four Cetera Group firms will pay customers $6.3 million in restitution.
Stephen S. Eubanks used the money to fund his lifestyle and pay earlier investors, according to William Galvin, Secretary of the Commonwealth in Massachusetts.
Capital Financial Planning in Albany, N.Y., joining LPL's brokerage and RIA platforms with 18 advisers.
Puplava Financial Services joins a wave of independent RIAs moving to larger broker-dealers.
