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.
Six-partner Intermountain Financial Partners is based in Salt Lake City
Dallas-based Bitqyck and its founders were charged with fraud and offering unregistered securities.
Kari Ann Buckles kept $2,264 she was supposed to deposit, Finra says.
National Holdings Corp. is set to acquire Winslow Evans & Crocker Inc. in 2020.
Securities regulator says more than 1,600 agents and managers had lapsed registrations.
Jonathan Williams and Kevin Curtis will open office in Harrisburg, Pa. for Summit Trail Advisors
Philadelphia, Pa.-based Barry A. Rucks & Associates uses B-D and RIA platforms
