The company called it a challenging first quarter, with pretax profits for wealth management Americas declining 6%.
The firm's better-than-expected inflows in the first quarter marked a rebound from fourth-quarter outflows.
Buckman, Buckman & Reid settles charges it failed to supervise two reps.
Regulator augmented fine proceeds with $20 million from reserves to bolster technology, examination program.
Merger of New York-based firms will create company managing $7 billion.
Jeffrey Weiss, 65, was well known for flying for charities.
Groups eligible for no-load version were steered to other funds, Finra says.
Meloria Wealth and Allied Financial link with Evolution Financial Advisors.
Shelley O'Connor will now head the firm's bank units, while Andy Saperstein will be sole leader of wealth management.
J.R. Koeijmans and Lance Whitworth join firm's Dallas office.
Office of Financial Innovation to help regulator keep pace with technology.
Effort off to fast start with bipartisan House support, but skeptics questions annuities provision.
Regulator says James E. 'Jeb' Bashaw borrowed $200,000 from a client in 2013 without telling LPL.
Online broker sees headwinds created by lower rates and less trading.
Louis 'Marty' Blazer said he gave $10,000 to a player with hopes he could represent him when he turned pro.
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.
Lower withholding and the loss of state and local deduction throw many for loop.
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
