Finra launched its investigation into 529 sales in 2019
The broker-dealer says it has more than $1 million in insurance to offset the expense
Sandlapper Securities may have some fight left, says CEO Trevor Gordon
Any cuts to payout will be offset by tools and technology, according to the broker-dealer
The 'Buckets of Money' adviser can apply to work in the securities industry again
Barry Sommers takes over for Jon Weiss, who was promoted earlier this year
Under CEO James Gorman, the wirehouse's diversity effort has moved in reverse, according to complaint
Bond manager becomes the latest executive to lose a job after confrontation with member of a minority group is posted online
The network of broker-dealers is said to have frozen merit pay bumps for staff until 2022
The wirehouse is creating a new avenue for its 'client associates' to become full-fledged financial advisers
