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.
Second-quarter saw 38 deals, says DeVoe report.
Industry's top volunteers will receive Invest in Others Awards in September.
Team switches firms but stays in Roseville, Calif.
