Beth Hamilton refused to appear at a hearing looking into inaccurate reimbursements.
Orlando Vargas was reimbursed for computer equipment he never bought.
Signet Strategic Wealth Management is based in Westlake Village, Calif.
Court also orders Hector May to pay $8.4 million in restitution.
Tracey Chung says supervisor publicly humiliated her because of her Asian descent.
Marc Kasowitz's client, FinApps, claims Envestnet Yodlee stole its credit risk assessment technology.
Firm's agreement with Fidelity's National Financial Services allegedly forced clients into more expensive share classes.
Record M&A activity in the second quarter is seen as just the beginning.
Uncertainty looms over how much opposition even a quarter-point cut will face and how much the U.S. economy is likely to slow.
Matthew Pruitt and Matthew Fisher join employee unit in Doylestown, Pa.
PCS Retirement acquires Aspire Financial Services
Don Marron and the $11.8 billion RIA ride the wave of private-equity ownership.
Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
TD Ameritrade study finds lead advisers and associates also getting younger.
Former adviser found guilty of 17 federal charges, gets maximum sentence.
North American Securities Administrators Association sees room for improvement in supervision.
But overall effectiveness of new advice standard still likely to depend largely on honor system.
Some practices will seek operational assistance by joining a super-OSJ network, while others will partner with a smaller firm that may be able to offer them more personalized service.
Fintech wants to help satisfy a growing adviser demand to offer HSAs to clients.
Organization says it will no longer rely on self-reporting of disciplinary backgrounds and is creating a task force to reform its enforcement practices.
