Summit Equities sold 1,037 individual variable annuity contracts to its customers during the time period cited by Finra.
Experts take sides on whether a fund-tracker should also launch its own mutual funds.
Mr. Block faces charges of conspiracy to commit securities fraud, securities fraud and making false filings with the Securities and Exchange Commission.
Funds are being rolled out that capitalize on infrastructure spending, tax reform and conservative causes.
Famed Vanguard founder says venturing outside the US involves unnecessary exposure to currency risk, economic risk and societal instability risk.
Many funds with these strategies bested their indexes in the past year.
With domestic stock valuations high, investing overseas could finally pay off.
BlackRock, Vanguard, Schwab among the top
The nation's largest fund company lowers fees on three mutual funds and 14 ETFs; raises fees on one fund
The market's moods are hard to read.
Position a portfolio to look forward and not just backward.
The company remains the top seller of U.S. ETFs while fending off Vanguard and shielding much of its business from the punishing effects of price competition.
Walter Marino allegedly profited from advising elderly clients to buy new contracts.
