Firm charged advisory fees on inactive accounts and excess commissions for UITs.
After raising $1.8 billion, GPB fails to deliver information to investors.
Kentucky adviser is confident he will overcome the conflicts he's facing in life after LPL.
With $113 million in client assets, John Kerr bolted from Jones to Thurston Springer Financial.
Mr. Schorsch's firm, American Realty Capital, will kick in $225 million as part of the settlement.
Some of the broker-dealer networks 7,000 advisers are underwhelmed by offer.
FSI successfully lobbied earlier this year for an exemption to proposed legislation for its broker-dealer and RIA members.
High levels of debt could be impacted by declining interest rates, the debt rating firm says.
Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
In July, Ms. Bennett was sentenced to 20 years in prison.
