Investment Adviser Association and NRS also say number of firms increased by 2.7% year over year.
Brokers implied government affiliation or approval, says enforcement action
Kenneth L. Jones had been terminated for not disclosing outside business.
William Galvin reiterates support for fiduciary standard in letter to DOL.
Separate four-person and two-person groups join employee unit in Tucson, Ariz.
Founders of the RIA will stay on and use proceeds to expand into new markets.
Will retain role as chief investment officer.
Anthony Vincent Ferrone refused to provide complete testimony at Finra hearing
Ms. Schroeder had been serving as head of enforcement since the departure of Brad Bennett earlier this year.
Finra panel says Wyoming couple lost right to receive monthly benefits.
