Nearly 2,300 suspected senior-fraud/exploitation cases reported by 61 firms in study.
Lawrence Allen DeShelter faces 20 years in prison.
The team is comprised of four-advisers, working in Paramus, N.J.
Sheik F. Khan, formerly with Ameritas in Pasadena, Calif., misled private-deal investors.
Twenty-three year veteran Anthony Joseph Verzi decides not to testify during regulator's inquiry.
DG Wealth Partners in W. Palm Beach, Fla., previously managed $1 billion in assets.
If finance exists to benefit clients, industry must advocate for change.
Agency says Utah broker-dealer failed to document suspicious microcap stock trades
Low-cost funds and automatic investing programs can help narrow gap between fund performance and investors' returns.
Sterne Agee fired James Holbrook, Jr. in May 2014 for allegedly misusing company assets and spending lavishly on perks.
