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Tag: Securities America

Blog, Current Investigations

FINRA Sanctions 3 Firms for 529 Overcharges 

Securities America, Royal Alliance, and SagePoint pay Restitution to 529 plan Investors  According to a Letter of Acceptance Waiver and...

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Blog, Current Investigations

Corbin Lambert Barred by the SEC 

SEC Bars Broker Corbin Lambert over Cherry-picking Scheme  According to The Securities and Exchange Commission on September 20, 2022, the...

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Blog, Securities Fraud

QA3 Financial to cease operations.

According to the Investment News, QA3 Financial is to cease operations.  Facing bankruptcy and a potential net capital violation, QA3...

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Blog, Securities Fraud

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

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Blog, Securities Fraud

Largest Independent Broker-Dealers

According to the Investment News, the following are the largest independent broker-dealers (ranked by reps producing over $100,000): Click...

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