Agency says Margaret Black didn't refund money due to 63 clients who left firm.
Incident involving Bill De Leon occured at a charity event in May 2017, according to published report.
U.S. Trust study finds clients are less interested in tax benefits than advisers may think.
Cornelius Peterson pled guilty to adviser and bank fraud in theft of retirement savings.
Temenos Advisory Inc. and CEO George L. Taylor are also charged with pocketing hefty commissions and 'grossly overbilling' clients
Order says firm didn't record $600,000 for broker's sports tickets as compensation.
Mitchell Yanow wrote 33 checks without authorization to cover personal expenses.
Paul Soll, formerly of Financial West, failed to provide regulator with information it requested.
Fragasso Financial Advisors chooses TD Ameritrade; moves B-D business to Private Client Services.
Participation at 83%, versus 58% for plans with voluntary enrollment, Vanguard study finds.
