Online brokerage platform also plans to open 600 new investment centers by 2020.
She takes over as the wealth management group's chief supervisory officer.
Not all investments belong in a 401(k).
New Quick Start program promises to onboard new RIAs on the Tamarac platform within 30 days.
Wells claimed the broker altered a customer's address to sell an annuity.
SEC settles with McKinley Mortgage, which promised secure investments and 6% returns.
Firm admitted it failed to file 'suspicious activity reports' on numerous suspicious transactions, the SEC says.
Kevin Michael Clouse left the wirehouse in February 2017, months before the firm pulled out of the protocol agreement.
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.
Lawrence Fawcett Jr. had consented to making unsuitable recommendations.
Cody Rock resigned from State Farm in September.
Regulator was investigating Matthew Singer's options recommendations.
Personal data like account numbers have been accessible online in material posted by Finra and state regulators, whistleblower claims.
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.
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.
