Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT Sales
Advisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
Is LPL’s Purchase of NPH Savvy or Reckless?
Analysts and executives discuss the pros and cons of the IBD's $325 million purchase.
Will LPL’s New NPH Reps Stay or Go?
Industry specialists debate how the move to a self-clearing firm could impact the 3,200 reps.
LPL Buys 4 NPH Broker-Dealers
The $325-million purchase price could rise, depending on how much of the National Planning Holdings advisors' revenue moves to their new parent firm.
Tax Credit Boost Could Increase Small-Business Retirement Plans: LPL
LPL surveyed 791 small businesses with 25 to 99 employees to find out how to increase access to retirement savings.
A Look Inside LPL’s DOL Fiduciary Strategy
Whether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
LPL Shares Q2 Recruiting Update, Sees Less DOL-Related Uncertainty
CEO Dan Arnold discusses why the independent broker-dealer is upbeat on its recruiting pipeline for the rest of the year.
Pros & Cons of LPL’s Move to Add Virtual Assistants: FPPad’s Winterberg
Is the IBD helping its affiliated advisors or taking technology too far with its latest fintech move? Bill Winterberg discussed with ThinkAdvisor.
LPL Launching Robo-Advisor This Month
The digital platform, Guided Wealth Portfolios, already has $14 million in assets and more than 700 clients.
Two Ways LPL Plans to Innovate: New Mobile App, Virtual Assistants
At its Focus conference, CEO Dan Arnold shares details about a mobile app for clients and the IBD's experiments with “Uberization.”