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Today's Headlines

Big Name Converts to RIA Space Are Influencing Others to Join the Bandwagon
This year has seen an uptick in indie newcomers with more than $1 billion AUM.
LPL Notches Yet Another Win Against Cetera
John Marshall & Associates Investment Center oversees $185 million.
SEC Enforcements Bounce Back with a Vengeance in Second Half of 2018
And 45% of the actions involved broker-dealers or RIAs.
Sponsored Webcast
Archive: Women Advisors Discuss Succession Plans as They Take Charge of their Family Firms
Join us today at 2pm ET, four financial advisors will discuss the challenges and opportunities associated with taking over their family firms. This webcast is sponsored by LPL Financial.
Most Indie-Bound FAs Want to Transition by 2020
These FAs want to break away for increased freedom and control.
Former Securities America Rep Suspended for Alleged Outside Options Trading
FA allegedly lost most of the client’s money while trading without the client's authorization.
Two LPL OSJs Merge to Form $4 Billion Behemoth
The combined super OSJ will have more than 100 financial advisors.

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