Merrill Robertson Jr., whose 2017 verdict was vacated, found guilty a second time.
Lance Armstrong was no-show at hearing looking into allegations
Edelman Financial Engines sells its Kentucky-based broker-dealer unit.
Homer Smith and Dave Stuehling create Konvergent Wealth Partners in Seattle.
Vic Howie, Paige Passerallo and staff move to employee unit in Charlotte, N.C.
Four-adviser group in Nashville, Tenn., will use Independent Advisor Alliance as OSJ.
Philip Sparacino, a hearing no-show, had licensed revoked by New Jersey regulators.
Trio of advisers at Center for Wealth Management in Troy, Mich., change affiliation.
The changes should allow advisory firms to make better use of social media.
SEC says the firm's share-class selection calculator was inadequately tested and validated.
