The claimants alleged the Connecticut investment bank negligently supervised its broker.
Ms. Hardwick intends to pursue other opportunities.
Bank's wealth management unit reports higher earnings on lower revenue.
DOL rule could prompt some advisers to move ahead of time — and others to stay put until they gauge rule's impact.
Not every adviser can be nominated for a Bully, just those who displayed a complete disconnect from their ethics in the course of impersonating a client or some big shot.
Michael J. Breton allegedly cost clients $1.3 million by placing trades through a master brokerage account and then allocating profitable trades to himself while placing unprofitable ones into client accounts.
The self-regulatory organization is planning to investigate 100 to 200 brokers who pose the greatest risk to investors.
Picks up two Merrill Lynch groups with nearly $2 billion in assets; more deals might be on the horizon.
The deals promised tax deductions worth four to four-and-a-half times a person's investment.
Bobby Eugene Guess, who promoted himself as a financial maven through radio advertising and financial seminars, was indicted on charges related to the multi-million-dollar sale of investments in an internet advertising company.
