Complaint alleges Jack Jarrell sold $64 million in securities without being licensed.
Hybrid owned by Lightyear is acquiring Retirement Strategies Group of Jacksonville
Massachusetts securities czar says Alan Siegel lied to clients on website.
Agency says Margaret Black didn't refund money due to 63 clients who left firm.
Catawba Capital Management, a 10-person firm, is based in Roanoke.
Incident involving Bill De Leon occured at a charity event in May 2017, according to published report.
U.S. Trust study finds clients are less interested in tax benefits than advisers may think.
Cornelius Peterson pled guilty to adviser and bank fraud in theft of retirement savings.
Temenos Advisory Inc. and CEO George L. Taylor are also charged with pocketing hefty commissions and 'grossly overbilling' clients
Order says firm didn't record $600,000 for broker's sports tickets as compensation.
