Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.
Insurance groups say the measure, which now heads to the full chamber for a vote, doesn't go far enough.
Slightly lower estimate would still be the largest cost-of-living increase since 2012.
Tamara Steele and her firm didn't disclose the $2.5 million in commissions she earned for selling shares of a company that was later charged with fraud, SEC claims.
Stresses of losing a spouse include steep decline in household income for many, according to a survey.
Jeffery Joseph Kelly was sanctioned for not providing documents to Finra during its investigation.
Rules adopted by 41 states have held down rate increases on newer policies, but some advisers remain skeptical of traditional LTC insurance.
Advisers can have work and personal numbers on one device, but can't forget about compliance.
Rep. Maxine Waters, the top panel Democrat, opposes relaxing oversight.
Luke A. Eddy was suspended for three months and fined $5,000
For a flat fee, users can receive guidance on major life events without paying for Betterment Premium.
In letter to SEC chairman Jay Clayton, lawmakers say agency's proposal is weaker than standard Congress laid out in Dodd-Frank.
American Securities Association will represent sector before Congress, regulators
Michael A. Bressman gained $700,000 from placing winning trades into his own personal accounts, the government charges.
Wirehouse continues to back away from linking non-solicitation agreements to adviser bonuses.
Cloud-based data storage, virtual offices protect client accounts even as the storm threatens to devastate physical property
PIEtech's popular software helps advisers estimate health care costs, create more complex life insurance scenarios and run performance projections on assets held away.
The firm sells illiquid, high-risk and high-commission alternative investments.
Stresses of losing spouse include steep decline in household income for many, according to a survey.
Testing by Financial Planning Coalition, Consumer Federation of America and AARP uncovers problems.
