Barred CEO Brian Keith Hardwick and firm ordered to pay $24.6M to investors
Wealth management platform now will offer adviser-client collaboration tool
State's Department of Business Oversight examined only 6.2% of state-registered investment advisers and 0.8% of broker-dealers in 2015-16.
Other changes made at AMG, Calvert, Icon and Westcore.
Illinois broker Matthew Maczko earned more than $640,000 from $3 million in assets
The wirehouse is settling charges related to single inverse ETF investments it recommended to advisory clients, many of whom experienced losses.
Mix of spending changes but total outlays don't go down, retirees say
Three advisers, planner and three staff members join Mt. Laurel, N.J. office.
Agency also wants to open another round of public comment on the regulation, according to published reports.
Firm is considering buying space near Hudson River, site of BlackRock's new offices
