Elias Hafen stole 'hundreds of thousands of dollars' from clients.
Improper trading practices resulted in losses for investors, says regulator.
Mitchell Friedman failed to disclose how he profited from funding arrangements.
Lefavi Wealth Management acknowledges receiving 7% commissions on top of fees.
Evan Mayer opens The Mayer Group in Boca Raton, Fla.
Next Monday is the deadline for nominations for InvestmentNews' 2020 awards recognizing female advisers and industry leaders who are advancing the advice business. Nominate an amazing woman today!
These Excellence in Diversity & Inclusion award winners are in the early stages of their career, but have already contributed to the success and diversity of the profession
Calls for reform presume there is a hue and cry among investors for access to such investments.
Customer claims Merrill's and Bank of America's disclosures were inadequate.
SEC said firm failed to disclose conflicts of interest related to more than $10 million in compensation.
