Paul Soll, formerly of Financial West, failed to provide regulator with information it requested.
Participation at 83%, versus 58% for plans with voluntary enrollment, Vanguard study finds.
New sub-advised funds, offered exclusively through financial advisers, are intended to lower costs and provide 'greater flexibility.'
Five were with Wells Fargo, others from LPL, Stifel and SunTrust
Regulator also levies $200,000 fine, cites Cetera's failure to review rep's disclosures
Tactical asset allocation funds will be available only in MassMutual-managed plans.
Massachusetts ordered Roger Zullo to disgorge $1.9 million in commissions.
MD Wealth Management Group is located in Franklin, Tenn.
The Securities and Exchange Commission alleges that Bruce Hauptman misappropriated the money from a fund he managed.
Massachusetts looking into private placement sales.
