Buckman, Buckman & Reid settles charges it failed to supervise two reps.
The firm's better-than-expected inflows in the first quarter marked a rebound from fourth-quarter outflows.
Merger of New York-based firms will create company managing $7 billion.
Regulator augmented fine proceeds with $20 million from reserves to bolster technology, examination program.
Jeffrey Weiss, 65, was well known for flying for charities.
Meloria Wealth and Allied Financial link with Evolution Financial Advisors.
J.R. Koeijmans and Lance Whitworth join firm's Dallas office.
Groups eligible for no-load version were steered to other funds, Finra says.
Shelley O'Connor will now head the firm's bank units, while Andy Saperstein will be sole leader of wealth management.
Effort off to fast start with bipartisan House support, but skeptics questions annuities provision.
Louis 'Marty' Blazer said he gave $10,000 to a player with hopes he could represent him when he turned pro.
Online broker sees headwinds created by lower rates and less trading.
Fund company attempts to cut costs as it faces continued outflows.
Advisor Group's independent broker-dealer network in the U.S. has more than 7,000 advisers.
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
Interim CEO C. Allen Parker interrupted by shouts and demands from activists over bank abuses.
Trio in Auburn Hills, Mich., join firm's employee unit.
Her campaign proposal would link the extent of loan forgiveness to individuals' household income.
The bank's shares have fallen 3.1% since CEO Tim Sloan resigned, compared with a 6.5% gain for the KBW Bank Index.
