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.
Wealth managers are being forced to reassess the services they provide to this generation.
Only custodial clients with $75 million or more in AUM will receive an invitation.
Armed with the 2018 Pricing and Profitability study, learn how to navigate any path forward by focusing on key areas like adviser capacity, training, strategic marketing and a disciplined sales process.
Addition of three veteran advisers brings Baird's 2018 recruiting count to 40.
Finra charged Stanley Niekras in 2016 with violating industry catch all Rule 2010, but couldn't produce testimony from key witnesses.
Generation Investment Management, Canadian pension fund team up to acquire control of wealth-management services provider FNZ.
Colorado firm JBA Wealth Management moves to LPL.
A qualified HSA funding distribution gives clients a one-time chance for a tax-free distribution of funds from an individual retirement account.
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.
The case for grocery-anchored real estate investing
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.
No replacement has yet been named for the 32-year Fidelity veteran.
