Over eight years, the wirehouse made at least 1,462 prohibited sales in 325 IPOs, including shares of Facebook, LinkedIn and Twitter.
Uncertainty looms, but there may be some good news ahead for taxpayers.
The death of the DOL fiduciary rule condemned the mutual fund share class to extinction.
The report goes into greater depth and detail to help broker-dealers improve their security practices.
Firm awarded broker sales awards, despite mutual-fund churning flagged to home office, according to Finra.
Agency intends to emphasize protection of Main Street investors.
The ETF will not be available on the retail Betterment product.
Ancora Advisors made political contributions and then provided adviser services to public agencies.
What happens to the survivor if a worker dies before claiming benefits?
Massachusetts says insurance firm must pay retirees and beneficiaries who were 'presumed dead'
Disclosure and informed consent can limit services, allow third-party pay.
The legislation 'has legs' given that retirement policy debates will be front and center in Congress next year.
Proponents hope bill will be re-introduced early next year.
How clients are transforming wealth management
The 13 additional unregistered brokers sold more than $350 million of the Ponzi's notes
It's crucial for advisers to kick the tires thoroughly on any potential transition, starting with questions about the firm's capabilities, products, support and financials.
Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.
The DOL hasn't issued concrete guidance on the issue, but there are hints on how to avoid trouble.
