Biggest win is trio who managed $676 million at Merrill Lynch
Frederick Randhahn fined $5,000 and must disgorge $33,168 in commissions.
Father-daughter duo, James Alioto and Florence Alioto-Prospero, based in Waukesha, Wis.
A recent retirement plan lawsuit raises the question of whether climate change exposes them to legal risk.
Merrill Robertson Jr., whose 2017 verdict was vacated, found guilty a second time.
Federal judge rules Jones lacked evidence to support its claims against John Kerr.
Jump in new trading accounts in October brings the company's total brokerage accounts to 12.2 million.
Ads featuring the firm's female employees were part of a campaign to counter negative coverage of the company.
Kestra's acquisition unit adds Minneapolis RIA.
As cash stockpiles mount, the $31 billion RIA builds a portal to increasing wallet share.
Lance Armstrong was no-show at hearing looking into allegations
Edelman Financial Engines sells its Kentucky-based broker-dealer unit.
More than a third had crossed Fidelity's 70% threshold for those 10 years from retirement.
The product is only available initially on Motif's consumer-facing platform, but the company plans to make it available to financial advisers in the future.
The independent broker-dealer is moving away from an offering that pumped up its recruiting numbers.
MassMutual has a new annuity designed for customers who fear they'll have to help cash-strapped parents in later life.
Homer Smith and Dave Stuehling create Konvergent Wealth Partners in Seattle.
Vic Howie, Paige Passerallo and staff move to employee unit in Charlotte, N.C.
The move is the latest by Silicon Valley tech companies muscling in on financial firms' territory.
