Todd Ficeto was involved in an international hedge fund scam.
Almost three-quarters increased cybersecurity compliance testing in the past year.
Roman Corona declined to appear before panel looking into holdings.
Hybrid robo launched in March charges one-time planning fee plus $30 a month.
David Ahlquist joins employee unit's Greenway Plaza office in Houston
Independent firm led by Michelle M. Merkel makes the switch after 26 years with Principal Securities.
The purchase of the Phoenix-based RIA adds $283 million in AUM
Deal for John D. Dovich & Associates in Cincinnati adds $600 million in AUM.
Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.
Legend Securities and its barred owner and reps ordered to pay.
