Michael J. O'Connor refused to testify in a Finra disciplinary hearing about his termination.
Benson Financial Group in Hannibal, Mo., affiliates with branch of Securities America.
Republican Hester Peirce and Democrat Robert Jackson seek to fill two vacancies on the commission.
Firm fined $750,000 for alleged misrepresentations to issuers in bond redemptions.
The plaintiff claims Voya potentially earns more than $1 billion per year in "excessive compensation" from its nearly 50,000 record-keeping clients.
Latest robo-adviser challenges rule-of-thumb approaches.
The case is the latest setback for Mr. Holt, a former attorney who has been disbarred, thrown out of the securities industry and is currently serving a 10-year prison term.
Advisers need to be aware of all possible defenses available to them for alleged breach of fiduciary duty.
Financial Planning Association expects to increase offerings to younger advisers over next year.
United Income models 'future life outcomes' based not only on expected investment performance but potential life spans and spending levels.
The brokerage suitability model is rife with conflicts of interest, but the RIA model is not pure.
Envoy Advisory, in Colorado, allegedly overcharged its minister clients.
Parts of the rule not subject to a contract requirement don't offer investors an avenue to recover losses if they receive bad advice.
Raymond James activates back-up offices in Memphis, Detroit and Denver, while Kovack Securities charters jet to fly staff to New Orleans.
Clients, shaken by the scale of hurricanes, will be in need of their financial advisers' reassurance that their assets are safe and accessible.
As U.S. tuition rates continue to soar, more American parents are sending their children abroad in pursuit of cheaper education.
Plans with the most assets, top adviser-sold and direct-sold plans, and top plans based on three-year performance
The report overstates the typical cost of a reverse mortgage in today's marketplace and misinterprets Social Security claiming strategies.
