Monthly Archives: September 2023

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SEC Adopts Amendments to Fund Names Rule

It is no secret that the Federal securities laws and the SEC’s rules implementing them can be, at times, a little technical. We oversee a complex industry and this sometimes requires us to prescribe specific formulas or multifactor tests in service of our mission. But at their core, many of our re...
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Wells Fargo advisor managing $175M jumps to LPL

A financial advisor who oversaw $175 million in client assets at Wells Fargo Advisors has affiliated with LPL Financial via is employee advisor channel, Linsco by LPL Financial, the firm announced Tuesday. Aaron Cizon will operate as Cizon Group Wealth Management of LPL Financial out of a new Linsco...
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Ex-LPL-affiliated compliance officer suspended over $1m transfer

Jeffrey K. Kirkpatrick was sanctioned for his activity at an RIA his business partner allegedly used to steal money from clients to buy an estate. The chief compliance officer at an RIA formerly affiliated with LPL Financial was suspended this week by the Financial Industry Regulatory Authority (Fin...
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