Regulator says firms failed to supervise share-class recommendations to plan investors.
The limit on contributions to IRAs is unchanged at $6,000.
Finra had ruled that the firm failed to supervise a broker who operated a Ponzi scheme.
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Regulators freeze assets and ask court to order restitution for harmed customers.
Jimmy Blackburn, Reed Potter Jr. form Legacy Financial Investment Services in Pikeville, Ky.
Health care costs weigh heavily on investors' minds.
Jason Hyson LeBlanc sold promissory notes while working for Girard Securities.
Nationwide study finds one-quarter of wealthy investors don't use an adviser.
Terry Cook, Kyle Caouette and 11-person team form Parcion Private Wealth in Seattle area
