Former Wells Fargo rep John Gregory Schmidt had been barred by Finra.
The regulator is on the warpath against unsuitable share class recommendations. How will the industry respond?
Enhancement of savings vehicles a priority in Washington, but some states aren't on board.
They claim current rules requiring those 70½ to start withdrawing funds from retirement accounts are outdated.
The adviser claims Charles Schwab defamed him and poached his clients.
Republicans don't want to tinker with tax reform, and Democrats don't want to be seen giving the wealthy a break.
Richard Cody of Jacksonville, Fla., also must pay fine of $30,000.
Data breaches have become so common that financial advisers cannot afford to remain uninformed
NASAA President Michael Pieciak: Draft regulations should curb abusive practices.
Pay limits were among the most sweeping constraints to come out of Dodd-Frank.
Lawmakers will seek more information in subcommittee hearing next week.
Maryland senator wants the SEC to make it harder for corporate executives to sell shares right after buyback announcements.
In FAQs, regulator says firms should review sales supervision procedures, not every transaction.
While legislation proposing a financial transaction tax has been introduced in the House and Senate, it's not likely to be enacted during the Trump administration.
Barred broker worked at 10 different firms in his 13-year career
IRI also pushes for SEC rule, and a bill to promote annuities in retirement plans.
The SEC claimed BB&T misled clients and caused them to overpay for advisory services.
As tax proposals become increasingly 'loony tunes,' financial planners grow more nervous about how the plans could affect their clients.
Key items include supporting the SEC's Reg BI, working to restore the deductibility of advisory fees and advocating for the adoption of NASAA's elder abuse rule.
There are clear steps that retirement plan fiduciaries can take to reduce the risk of litigation to near zero.
