Retirement plans and charitable organizations were sold higher-cost share classes though they were eligible for lower-cost shares.
Will continue to sell Vanguard's ETFs; says culling aims to reduce 'less popular' funds.
Finra censures Royal Alliance, FSC, SagePoint, Woodbury, levies $550,000 in fines.
Financial Planning Re-entry Initiative will establish internships for returning professionals.
Says advisers working at a credit union misled investors on how they were paid
Firm hires Katherine Collins to lead sustainable investing team
Two Texas reps sign on to employee channel
Jesse Joseph Holovacko took $255,000 from client IRA claiming to buy bonds.
Michael Jeppson goes indie in Manhattan Beach, Calif.
Walter Stamper of Chattanooga, Tenn., managed $147 million.
