Displaying 97 results
Hybrid managing $220 million switches to Commonwealth from MML
Trio of advisers at Center for Wealth Management in Troy, Mich., change affiliation.
Hybrid firm managing $1 billion switches to Commonwealth from Securian
Pennsylvania-based Legacy Planning Partners has four partners and 30 advisers and staff
Hybrid firm managing $1 billion switches to Commonwealth from Securian
Pennsylvania-based Legacy Planning Partners has four partners and 30 advisers and staff
Hybrid managing $191 million moves to Commonwealth from Cetera
Great Scott Financial Services is based in Bethlehem, Pa.
Hybrid managing $191 million moves to Commonwealth from Cetera
Great Scott Financial Services is based in Bethlehem, Pa.
Commonwealth Financial fires back at SEC charges of conflicts of interest
Firm says clients were not deceived by alleged conflicts over revenue-sharing
Commonwealth Financial fires back at SEC charges of conflicts of interest
Firm says clients were not deceived by alleged conflicts over revenue-sharing
Adviser must pay former employer $358,000 for violating employment contract
Arbitrator ruled that adviser was supposed to pay a fee for every former client he solicited.
SEC charges Commonwealth Financial with conflicts of interest in revenue-sharing agreement
Firm's agreement with Fidelity's National Financial Services allegedly forced clients into more expensive share classes.
Commonwealth adviser managing $200 million switches to LPL-affiliated hybrid
Ron Jaeger moves to Gladstone Wealth Group's office in Red Bank, N.J.
Finra bars former Commonwealth rep for non-cooperation
Benjamin Bourgeois Jr. failed to give regulator information for its investigation.
Finra bars former Cambridge rep over misuse of funds
Anselmo Contreras Jr. said to have borrowed $30,000 from clients.
Commonwealth case against Ohio National should be arbitrated, court rules
Broker-dealer's claim involves insurer's decision to stop paying trail commissions.
Two IBDs look at technology differently
Commonwealth Financial Network is licensing its proprietary technology, but Cambridge Investment Research is taking a different tack.
Ex-broker stole $100,000 from client, Galvin says
The broker, Bruce Worthington, allegedly took nearly $100,000 from client's account over 13 years.
Commonwealth Financial, MassMutual strike software deal
MassMutual will license Commonwealth's proprietary adviser software, Advisor360.
LPL loses $325M firm to Commonwealth, picks up $400M firm from Cadaret Grant
The loss of Daley Financial Partners will be filled by the addition of Wellesley Financial Planners.
As it works to pull off a merger, FS Investments admits shortcomings
Management makes public statements about weaknesses at company's funds.
RightCapital lands partnership with Commonwealth
The financial planning startup hopes to provide tech to Commonwealth's network of 1,800 advisers.
Broker-dealer CEO sees rapid escalation of brokers abandoning commissions in favor of fees
Commonwealth Financial's Wayne Bloom says brokers are turning in their Finra licenses and going fee-only
