New Cerulli report says the economics of the business — plus heavy regulation — make it unlikely that big tech firms will want to get into the advice market.
Finra said Laura Shean took $124,000 from a customer's brokerage account to make six payments to the IRS.
Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.
Putnam research reveals more frequent, but less personal, adviser communications.
Firm looked the other way over Douglas Greenberg's legal run-ins, according to New York Times
Clyde Mick Jones accused of breach of fiduciary duty, violating state law.
Firm charges call center rep Benjamin Linser with taking client data
Austin, Texas-based Meritage's eight-person team will join larger firm's office.
Cody Rock resigned from State Farm in September.
Holly Arbuckle opted out of testifying at inquiry.
