In separate lawsuits, J.P. Morgan Securities sought temporary restraining orders to stop several advisors who they claimed illegally solicited former clients after moving to new roles.
Carson taps former LPL market strategist to advance its investment platform and research capabilities.
The IBD hopes to forge deeper relationships with its advisors via events, networking experiences and technology.
The New York–based team from Fieldpoint Private Securities takes its $230 million in client assets to the Sanctuary platform.
The firm recommended investments in share class options for clients in its wrap account programs when more affordable options were available, according to the commission.
MAI Capital Management rounds out its sports and entertainment arm with the addition of Intersect Wealth in San Ramon, Calif.
