Team in Virginia manages $138 million in assets.
Mutual Fund Observer finds many five-star small funds no longer covered.
Ex-Oppenheimer employee in Providence must also forfeit $386,000
<i>InvestmentNews</i> announced Wednesday that it is expanding its retirement plan adviser coverage by recruiting a nationally recognized expert of that growing market to help guide its efforts.
Four-person team joins firm's employee channel in Charleston, S.C.
Clients will be moved to self-directed accounts; bank may kill shift if DOL rule is dropped.
Jim Ewing and Michael Cona have formed Ewing/Cona Wealth Management in Marlton, N.J.
Male advisers are three times more likely to go rogue, but women pay a higher price for their transgressions. (<i>More: </i><a href="//www.investmentnews.com/gallery/20170309/FREE/309009998/PH"" style=""color:#b10816"" target=""_blank"" rel="noopener noreferrer"><i><b>7 changes firms need to make to attract more female advisers</b></i>) </a>
SEC says firm didn't report to customers conflicts or income it received from clearing broker.
Mark Schklar fined $10,000 for selling private securities without prior notice.
