Barred CEO Brian Keith Hardwick and firm ordered to pay $24.6M to investors
The wirehouse is settling charges related to single inverse ETF investments it recommended to advisory clients, many of whom experienced losses.
Other changes made at AMG, Calvert, Icon and Westcore.
Illinois broker Matthew Maczko earned more than $640,000 from $3 million in assets
Three advisers, planner and three staff members join Mt. Laurel, N.J. office.
Mix of spending changes but total outlays don't go down, retirees say
Agency also wants to open another round of public comment on the regulation, according to published reports.
Firm is considering buying space near Hudson River, site of BlackRock's new offices
Former rep charged with bilking $1 million from clients.
The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.
