In 2016, Vincent Storms changed broker audit information and avoided follow-up work.
The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.
Claimants received $850,000 in compensatory, $700,000 in punitive damages, $250,000 for attorneys
Finra's recent guidance on firms' communications with clients of transitioning advisers recognizes the importance of choice and continuity of service for clients.
Tax-free health savings accounts, Roth IRAs, insurance and annuities can help cover retirees' future health-care costs.
SEC and Finra provide information on how securities rules apply to some of the complicated compliance issues posed by digital tokens.
But clients may be underestimating the possibility of longer lifespans when they're planning for retirement.
Lower Social Security income is not just a possibility.
CTO says firms should think about the human experience as they bring over clients after an acquisition.
Assemblyman Jeffrey Dinowitz says measure will be 'stronger' than previous disclosure bill.
SEC charges Kerry Hoffman with fraud involving unregistered securities.
Daryl Davis allegedly made several false claims about the size of his firm, Parrish Group, and celebrity clients.
CFP Board CEO Keller touts standard but indicates possible delay in its enforcement.
TD Ameritrade Institutional survey predicts continuation of trend toward independence
Broker's trading generated $650,000 in commissions while clients suffered steep losses.
Riskalyze chairman Lori Hardwick, Goldman exec Rana Yared joining the retirement fintech's board of directors.
Current rules punish all the employers in a multiple employer plan for a mistake made by just one
The broker, James Thomas Booth, joined LPL as a result of the firm's NPH acquisition.
LPL broker Lance Browning alleges the insurer acted unlawfully last year when it terminated certain trail commissions.
Proponents, however, say products provide portfolio balance for retirement savers.
