With $113 million in client assets, John Kerr bolted from Jones to Thurston Springer Financial.
State regulator exams also indicate fewer problems with fees and other areas.
State regulator said limitation is 'contrary to fiduciary duty.'
Finra CEO Cook: 'It's not our rule. It's an SEC rule.'
Mr. Schorsch's firm, American Realty Capital, will kick in $225 million as part of the settlement.
A recent decision by the 9th U.S. Circuit Court of Appeals allows Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan.
The parties in the MIT 401(k) suit negotiated an agreement that spares Ms. Johnson from having to undergo cross-examination.
The departures follow the news that Jackson National halted sales of some products in the state.
Reps joined J.P. Morgan instead of Wells Fargo after shutdown of CS wealth management unit.
Compliance experts say violators may not realize they're out of bounds
Elias Hafen stole 'hundreds of thousands of dollars' from clients.
2026 marks the end of full tax benefits for investors in Opportunity Zones. Find out more about this investment tool, the history behind it, and key aspects to consider.
Improper trading practices resulted in losses for investors, says regulator.
Mitchell Friedman failed to disclose how he profited from funding arrangements.
Lefavi Wealth Management acknowledges receiving 7% commissions on top of fees.
Despite overwhelming bipartisan support in the House, measure remains stuck in the Senate.
Legal and administrative challenges have stalled uptake by plan sponsors.
FSI successfully lobbied earlier this year for an exemption to proposed legislation for its broker-dealer and RIA members.
New study shows 'adviser' is ranked closer to 'doctor' and 'lawyer,' while 'stockbroker' is grouped with 'car salesperson.'
Investor claims custodian didn't do due diligence on adviser charged with securities fraud.
