The fee-based firm works with public company executives.

Stiles Financial Services in Edina, Minn. joins LaSalle after a decade with Cambridge Investment Research.

The broker/dealer’s digital recruiting efforts have expanded the pool of prospective advisors, Ameriprise says.  

FINRA has order Stifel Nicolaus to pay customers over understated fees related to early rollovers of UITs.

Invex Financial, which manages $120 million, joins LPL's broker/dealer, corporate RIA and custodial platforms.

Emigrant Partners has made an investment in the California-based firm, marking its third deal since the pandemic started.

NASAA told Congress to avoid proposals that would weaken securities laws, and that it should address unpaid arbitration awards and other investor protection issues.

USAA members accessing investment products and services are being directed to Schwab.

EQIS Holding rounds out its C-suite with the addition of Bob Herrmann, former head of Discovery Data.

Disciplinary hearings that historically had to be done in person or by phone can be conducted via videoconferencing, the CFP Board said.