Firm admitted it failed to file 'suspicious activity reports' on numerous suspicious transactions, the SEC says.
SEC settles with McKinley Mortgage, which promised secure investments and 6% returns.
Austin, Texas-based Meritage's eight-person team will join larger firm's office.
Allowing groups to negotiate health plans with insurers could make it easier for small businesses to find affordable coverage.
Content marketing is not an alternative to other forms of client prospecting.
Holly Arbuckle opted out of testifying at inquiry.
Cody Rock resigned from State Farm in September.
Lawrence Fawcett Jr. had consented to making unsuitable recommendations.
Personal data like account numbers have been accessible online in material posted by Finra and state regulators, whistleblower claims.
Regulator was investigating Matthew Singer's options recommendations.
5th Circuit decision may lead to three tiers of client protection.
Agency says firm failed to take action against pump-and-dump fraud.
The question now becomes whether Alliance Affiliated Equities Corp. will be able to collect the arbitration award, a problem investors often face.
Rep. Bill Huizenga, chair of House financial subcommittee, casts doubt on 'systemic problem.'
The former chief accounting officer was sentenced to time served for her role in the fraud that led to the unraveling of Nicholas Schorsch's real estate-based empire.
LPL terminated registration of Sanders Spangler for violating company policy.
Complaint alleges the decline in the stock cost plan participants an estimated $135 million.
Four-adviser group in Savannah creates Sounds View Wealth Advisors.
Former National Planning rep Jason David took break during exam.
National Association of Fixed Annuities puts focus on 5th Circuit Appeals decision to kill regulation.
