Big Reg Charge Slashes LPL’s Q3 Earnings Forecast
One analyst says LPL's "inability to guide effectively on expenses," particularly regulatory ones, is a "recurring problem."
Should Investors Take Advantage of Cheap Oil?
Low energy prices have many positive ramifications for the economy, forecasts from LPL and Janney Montgomery Scott say.
LPL’s Robert Moore: RIAs Are Where the Growth Is
LPL President Robert Moore tells ThinkAdvisor why the BD is not feeling acquisitive and why there's room to grow in the indie RIA space.
Bruton's Lucia Capital Seals First Deal, Adds $170M in Assets
The group, led by ex-LPL exec Derek Bruton, acquires client assets and two professionals; plans more purchases.
Schorsch’s RCAP Adds Ex-LPL Exec Dwyer in Leadership Shakeup
Bill Dwyer will be CEO of the Realty Capital Securities unit, while other new additions will give the rapidly growing firm a "deep bench."
LPL Adds $1.2B Team; Wells Fargo Recruits $1.4B Reps
Also, Washington Wealth brings in group from RBC with $830 million in assets, as Morgan Stanley's Graystone attracts Merrill institutional team.
12 Best & Worst Broker-Dealers: Q2 Earnings, 2014
Some of Wall Street’s major players still struggle with litigation expenses; many are finding ways to further boost their wealth results.
Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
Wells Fargo, U.S. Trust, Raymond James Add Teams From Rivals
Plus, a wealth group of five advisors affilates with LPL Financial in Wisconsin.
Wells Fargo, Raymond James Recruit Teams; LPL Adds 13 Reps
Plus, HighTower and NFP add separate retirement plan groups to their operations as partners.