Eric Zakarin was also liable for $357,000 of Wells Fargo's attorneys' fees.
Also, Wells Fargo's biggest non-performing asset is its board, Kansas clamps down on bad news, and the ruby slippers are saved.
Many new U.S. infrastructure funds are designed to offer investors the possibility of higher income in exchange for taking some additional risk.
Retirees lost $140,000 after Christopher Ariola unduly concentrated them in energy, gold.
Custodian offers five portfolios with investment selected by Morningstar professionals.
Salentica client relationship management software to become part of Black Diamond platform.
A China Oceanwide investment platform will pay $5.43 per share, the companies said.
An adviser shares his experience starting his own firm, and the challenges of not being able to depend on a home office anymore for phones, faxes, malware and more.
Miniscule benefit hike won't protect seniors' buying power.
Warren's charges could be motivated by political calculation rather than concern about investor protection or information.
The technology company seeks to expand its responsible investing footprint with the RIA.
At least four trade associations reached their highest levels of donations in this election cycle, the FEC reports.
Wealth of tools popping up to help with compliance, but will require proper adviser due diligence.
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
The plans in public school districts — often a "laissez-faire" type of arrangement exposing teachers to high-fee products — won't be helped by the new regulation.
'Dred Scott' comments by the SkyBridge Capital executive 'are so at odds with the DOL rule, law, logic and basic human decency, they demand a rebuke.'
System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report found.
Measure requires brokers to establish trusted contacts on accounts and allows them to stop distributions in questionable circumstances.
