So far, the firm has paid more than $900,000 on complaints about the REITs and variable annuities the broker used in clients' portfolios.
Keith Wakefield did not testify in Finra investigation of 'trading improprieties' at IFS.
As digital advice evolves, Raymond James stays focused on advisers.
Airline baggage handler leaned on Facebook to promote his advisory practice, 'Bored at Work.'
IFS Securities reps are talking to other firms while some managers relocate.
Sigma Planning failed to disclose conflicts related to 12b-1 fees: SEC.
SEC: Firm was swapping bonds for clients with no alleged benefit to the customer.
Cetera's former CEO launches new fund but he won't be working full-time.
Firm charged advisory fees on inactive accounts and excess commissions for UITs.
After raising $1.8 billion, GPB fails to deliver information to investors.
