Barred Advisor Pleads Guilty to $3.3M Fraud Against LPL, Fidelity, TD Ameritrade
By Melanie WaddellAndrew Komarow pleaded guilty to wire fraud, which carries a maximum 20-year prison term, DOJ said.
October 22, 2026
6 SEC Rules That Could Pass by Year-EndSome proposals released in 2026 affecting the advisory industry won't get through, but others stand a good chance.
October 22, 2026
FINRA Hits BD With $100K Fine Over Reg BI FailuresThe firm failed to detect and address red flags of excessive trading in three customer accounts, an order states.
October 22, 2026
How Trust in Financial Institutions Bolsters Retirement SecurityIn contrast, higher trust in government programs is linked to lower levels of savings and investment, Wharton research found.
October 22, 2026
Ex-LPL Advisor Charged With Wire FraudWilliam Bernard Tunink, now barred from the industry, defrauded more than 50 investors, Iowa prosecutors say.
October 21, 2026
Policyholders Sue Asset Manager That Controlled Failed Life and Annuity IssuerThree trusts have accused Nassau Financial and Golden Gate Capital of using a "scheme to loot PHL's assets for their own benefit."
October 21, 2026
SEC Streamlines French Advisor RegistrationThe pathway allows the agency to process new and pending applications received by the French securities commission.
October 21, 2026
Osaic Nabs $2.3B ICG next From LPLJames A. Costabile, managing partner, said the wealth management firm entered serious breakaway conversations about six months ago.