James Hocker took money from 25 mostly elderly, unsophisticated investors.
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
Transaction could involve Guggenheim taking on Munich Re's asset management unit
Daniel Abel agrees not to solicit his former clients at the firm.
Lisa Marie Schurhammer said to have engaged in phony annuity and gold sales.
The rule regulated what was already happening within the defined-contribution industry anyway.
Jon DuPrau and Caspar Tudor join the team in Los Angeles, Calif.
Advisor Group takes 'orphan' broker-dealer off the hands of John Hancock Financial Services.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
The past year saw the biggest loss of the decade as increases in living expenses outpaced the cost-of-living adjustment.
Regulator was investigating Joseph Clottey's compensation irregularities.
Investors are hell-bent on industrials-to-small-caps rotation trade
Morningstar report: Lack of data on fees, investments makes advice on rollovers costlier and more challenging for investors.
Hybrid manages $130 million in Durham, N.C.
Lawsuit claims insurers 'betrayed' thousands of pension plan participants and beneficiaries.
The move would reflect the bank's effort to cut $4 billion in costs.
Colorado broker Dennis Farrah quit firm before state regulators revoked his license.
Says viewing health costs as a staggering lump sum impedes action and planning.
Association health plans would lack some of the protections required under Obamacare.
Personalized letters to friends and family can help clients resolve personal issues while also explaining their estate plan.
