Firm will pay $650,000 for suitability, compliance and books and records violations.
Two advisers and assistant join employee unit in Michigan.
Investors want help with investments, but sometimes they look beyond financial advisers.
Wirehouse, after losing 400 brokers in first quarter, is bucking trend among rivals who have said they are going to cut back on spending big bucks recruiting veteran advisers
Three-person Guardian Financial Partners is based in Orange, Calif.
Once signed by governor, law will allow banks and securities firms not to process questionable transactions.
Father-and-son team based in Omaha, Neb., remain in employee channel.
Former Wells Fargo broker consents to Finra ban for improper transfers from customer accounts.
Average net expense of all mutual funds drops to 0.57%.
Advisers forming RIA in West Palm Beach, Fla.
