Michael Garris, who executed 26 unauthorized transactions, was also fined $5,000.
Senate vote on retirement-savings measure not likely this month, so supporters ready push for fall.
Meanwhile adviser annual productivity reaches new peak of $1.35 million.
Examination of 50 advisory firms shows lapses in disclosure, compliance programs
The digital adviser is offering savings accounts with that rate for customers who also sign up for a checking account.
Ex-spouses have more claiming options than married couples.
Firms should take steps now to intentionally create a culture of innovation
TD Ameritrade's voice-activated technology now allows account holders to check their portfolio or get a quote while they're in the car.
Using cloud-based technology from Box, clients can share wills, estate plans with advisers.
Legislation to increase penalties, ease statute of limitations pass House committee on party line.
Clients are living longer, and advisers will need to help them avoid outliving their money
The 6-year-old company has also outlined several new initiatives, including expanded trading of cryptocurrency.
Professional employer organizations give independent advisory firms a way to gain quality coverage.
Breaking up the numbers can replace the panic with planning.
Women who relinquish all financial decision-making to spouses or others, do so at their own peril.
The ultimate goal is to engage all 401(k) participants by offering in-plan financial advice.
Aggregator firms are infringing more on broker-dealers' turf, but brokerage executives don't seem rattled by the additional competition.
By blocking access, sponsors may actually increase chance of harm.
Security concerns change dynamic of 401(k) information ownership.
