Disciplinary proceedings will determine whether a firm or an adviser exerted undue influence over "vulnerable individuals or individuals with diminished capacity."
Firm says it will look for talent among teachers, entrepreneurs and former athletes.
Consolidator could add $6.4 billion in assets at a cost of about $70 million.
Lawson Financial settles with SEC over due diligence in nursing home financings.
Latest adviser satisfaction study finds most younger investors are dissatisfied.
Broker in Trinity, Fla., managed $106 million in assets.
Minneapolis-based RIA manages $515 million in assets.
Fixed income had best quarter ever, while equity inflows continued at blistering pace
Atlanta duo and former private equity firm partner manage $200 million.
Whether guided by human or robo, many won't act without consulting someone else first.
