Finra was investigating Tyler Harris over his personal banking activity.
In the latest quarter, the broker-dealer suffered a net loss of 145 brokers.
Lawsuit also names Financial Engines and Alight, both providers of financial advice to the plan.
They're highly educated and drowning in debt, but have decades to get on track.
AXA Equitable and Ohio National have recently tried switching consumers out of VAs with rich benefits through buyouts and exchanges.
Regulator to meet April 18 to consider three-part plan that includes disclosure document, broker standard, adviser-standard interpretation.
Those who work with an adviser are most likely to buy an annuity.
Regulator was investigating Kevin Lee's possible undisclosed business activities.
Socially responsible investing doesn't always mean forgoing gains.
Firm is moving to fees based on the amount of each customer's assets.
Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
Ingham Retirement Group, which works primarily with employer-sponsored plans, left because the firm's brokerage business had been declining.
Consolidation, unbundled platforms and the use of proprietary funds play a role, according to retirement plan advisers.
Upcoming reports on companies' profits may fail to fulfill high expectations.
Large regional firms and their specialist advisers seem to be in the regulator's cross hairs.
Customers alleged Scott W. Palmer made unsuitable energy stock recommendations.
Also censures firm, which agrees to review its supervision practices.
The sale is part of Capital One's exit from some financial services businesses.
The Financial Planning Association is trying to be too many things to too many people.
Acquisition of Capital One's advisers represents growing trend among independent broker dealers.
