His earlier guilty pleas over trading and investment scams had been vacated
Finra, Wisconsin earlier barred the former Mutual of Omaha rep
The market for passive funds is on a tear, but is that the only market being impacted by the low-cost investing push? Will advisers continue to favor ETFs this year? InvestmentNews' George Moriarty looks at both
Anthony Diaz faces 220 years in jail for filing paperwork inflating clients’ net worth
Jule Eldridge, Jason Newton and Robb Sasser are joining an employee unit in Florence, S.C.
Firm was also fined $175,000 after rep's 88-year-old client paid $300,000 in commissions
The firm also will disgorge almost $9 million over misstatements about its futures fund
Kerry Wills also accepted $19,500 in luxury travel gifts he didn’t disclose
Shawn Wooden, along with Travis Ruane, managed $125 million at Principal
InvestmentNews asks a mother-daughter pair of Merrill Lynch advisers what it’s like to have your mom as your mentor
