Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.
Insurance groups say the measure, which now heads to the full chamber for a vote, doesn't go far enough.
Tamara Steele and her firm didn't disclose the $2.5 million in commissions she earned for selling shares of a company that was later charged with fraud, SEC claims.
Slightly lower estimate would still be the largest cost-of-living increase since 2012.
Johnson says way to prosper in financial services is 'by building relationships.'
Stresses of losing a spouse include steep decline in household income for many, according to a survey.
Jeffery Joseph Kelly was sanctioned for not providing documents to Finra during its investigation.
Moore Financial Services was previously with Lincoln Financial for 33 years.
Rules adopted by 41 states have held down rate increases on newer policies, but some advisers remain skeptical of traditional LTC insurance.
Historic chain of market events left advisers and investors more skeptical, cautious.
A decade later, consequential lessons have yet to be internalized.
Rep. Maxine Waters, the top panel Democrat, opposes relaxing oversight.
In letter to SEC chairman Jay Clayton, lawmakers say agency's proposal is weaker than standard Congress laid out in Dodd-Frank.
American Securities Association will represent sector before Congress, regulators
Luke A. Eddy was suspended for three months and fined $5,000
Michael A. Bressman gained $700,000 from placing winning trades into his own personal accounts, the government charges.
Cloud-based data storage, virtual offices protect client accounts even as the storm threatens to devastate physical property
Wirehouse continues to back away from linking non-solicitation agreements to adviser bonuses.
The firm sells illiquid, high-risk and high-commission alternative investments.
Stresses of losing spouse include steep decline in household income for many, according to a survey.
