The Financial Industry Regulatory Authority Inc. and FSC Securities last Thursday announced that the firm will pay a $100,000 fine and $492,000 to clients.
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
They do not believe the cuts will do much to help economy next year.
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
George Dahl appeared at Finra hearing but did not provide requested testimony.
Several strategies can cover the gap to help clients claim a bigger benefit later
Saber rattling is cause for concern, but advisers are not making wholesale moves in client portfolios.
From Dow Chemical to Morgan Stanley, corporations are cashing in on overseas demand to pump up profits.
Funding a child's college education shouldn't blow up their retirement.
Why dividend-paying stocks have a place in any well-diversified portfolio.
The company may seek to exit its John Hancock unit in the U.S.
Eighteen-month postponement further clouds the future of a fiduciary rule.
Looking solely at the median cost of hiring an adviser can be deceiving.
Paul Lang joins firm's employee channel in Roswell, Ga.
Industry executives have been chattering for at least a month about the blockbuster deal.
Broker-dealers report paying hefty start-up costs and additional ongoing expenses, and are cutting the number of mutual funds they offer.
U.S. stocks? Not so much.
Louis Martin Blazer III of Pittsburgh, Pa.-based Blazer Capital Management was barred last year
Indexed annuity distribution would have been upended in January, but a delay preserves the status quo.
Senators seek clarification on 2-year-old rule that gave surviving spouses certain rights.
