The company settled a similar self-dealing lawsuit four years ago for $12 million.
Regulator's fines surged to $2.59 billion in the six months ended in September, up from $9.8 million in the first half
Broker allegedly manipulated a client account to maintain his status for working with international clients.
But NASAA said among cases brought against registered entities, the number of investment adviser cases 'significantly outnumbered' broker-dealer cases for the first time.
Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank.
Company follows in the footsteps of discount brokerages like Charles Schwab and TD Ameritrade that leveraged retail brokerage platforms 30 years ago.
Foundational Planning will be rolled out in January to help advisers create plans for clients with less complex financial needs.
Colorado firm JBA Wealth Management moves to LPL.
Addition of three veteran advisers brings Baird's 2018 recruiting count to 40.
State poised to jump to lead in resisting forthcoming SEC advice rule.
Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.
Wealth management unit to use machine learning to help with trade recommendations for clients.
Paige Pierce of Larimer Capital Corp. has been leading the effort to pass the Small Business Audit Correction Act.
Appointment of Bryan Hodgens is second shake-up in a year at the retirement unit.
AARP study finds that Americans are split on why they continue to work.
Loans and deposits at Wells are down. Earnings, too, are expected to fall.
Fired in 2016, Kevin Smith was barred Monday for not providing testimony in investigation.
Hybrid robo-advisers are bridging the gap between automated advice and traditional advice by hiring financial advisers looking for an alternative career path.
The stakes are high: Procedures have to be reviewed and tested on a regular basis.
Instead of a basket of ETFs, SGIM's algorithm will actively pick individual securities.
