Testing by Financial Planning Coalition, Consumer Federation of America and AARP uncovers problems.
Disgorgement and penalties in SEC case total $938,194; Finra imposes $800,000 fine.
Path to three votes for final rule may not go through Democrats
Last year, the SEC charged the Woodbridge Group of Companies with running a $1.2 billion Ponzi scheme that targeted 8,400 investors.
Clock, partisan divisions could stymie adviser regulation reform, HSA contribution limit increase
Republican replaces Michael Piwowar, puts panel at full strength for now
Walter Grenda allegedly sneaked back into industry through his son's firm
They also support another part of the president's order that would help small employers offer retirement plans to workers.
Mychal Kendricks has admitted buying shares of companies he was told were about to be acquired and then selling them at a profit.
Campaign budget of $11.7 million based on $145 assessment per CFP certificant
