Sheik F. Khan, formerly with Ameritas in Pasadena, Calif., misled private-deal investors.
Lawrence Allen DeShelter faces 20 years in prison.
Twenty-three year veteran Anthony Joseph Verzi decides not to testify during regulator's inquiry.
DG Wealth Partners in W. Palm Beach, Fla., previously managed $1 billion in assets.
If finance exists to benefit clients, industry must advocate for change.
Low-cost funds and automatic investing programs can help narrow gap between fund performance and investors' returns.
Agency says Utah broker-dealer failed to document suspicious microcap stock trades
Sterne Agee fired James Holbrook, Jr. in May 2014 for allegedly misusing company assets and spending lavishly on perks.
Brokers in Missouri and Tennessee decide to take indie route.
Deal adds $250 million in assets under management
