InvestmentNews19h
GPB paid convicted top executives legal fees of $75M
And GPB founder David Gentile and ex-broker-dealer chief Jeff Schneider want the company to continue paying legal expenses.
LPL Financial: Shorepoint Wealth joins broker-dealer, RIA, custodial platforms
LPL Financial (LPLA) announced that Justin Lotano has joined LPL Financial’s broker-dealer, Registered Investment Advisor (RIA) and custodial ...
JD Supra5d
SEC Cracks Down on Unregistered Broker-Dealers
StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission ...
LPL Financial: Michael Carmichael joins broker-dealer, RIA, custodial platforms
LPL Financial (LPLA) announced that financial advisor Michael Carmichael, founder of Carmichael Financial, has joined LPL Financial’s ...
Nasdaq2d
LPL Financial Welcomes Michael Carmichael and Carmichael Financial to Its Broker-Dealer and RIA Platforms
RFC®, CRPS®, founder of Carmichael Financial, to its broker-dealer and RIA platforms. With approximately $190 million in client assets and over 20 years of experience in financial services ...