Nearly two-thirds of firms have increased testing in the area.
Eight broker-dealers censured for supervisory laxity in monitoring VA exchanges.
Complaint alleges Jack Jarrell sold $64 million in securities without being licensed.
Massachusetts securities czar says Alan Siegel lied to clients on website.
Hybrid owned by Lightyear is acquiring Retirement Strategies Group of Jacksonville
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.
