Path to three votes for final rule may not go through Democrats
The brokers worked for the same broker-dealer, which has since been expelled from the industry, at the time of their respective alleged frauds.
Investors placed in the wrong mutual fund share classes were overcharged by more than $260,000.
Policy effectively creates a dual approach for Merrill's 17,000-plus advisers.
Last year, the SEC charged the Woodbridge Group of Companies with running a $1.2 billion Ponzi scheme that targeted 8,400 investors.
Edward O. Daniel was barred after declining to participate in Finra investigation into a customer dispute that was settled for $225,000.
Negative returns and fiduciary risk are positively correlated for 401(k) fiduciaries.
The organizations getting sued over retirement plans are low-hanging fruit.
Last year's overhaul is expected to slash the number of taxpayers subject to the AMT.
LPL bought SII last year as part of its National Planning Holdings purchase.
The complaint illustrates the persistence of such accusations among the nation's more than 600,000 securities brokers.
The Ohio-based broker stopped cooperating with regulator's investigation.
In a primary race that turned ugly in the final weeks, the state's secretary of the commonwealth handily defeated his challenger.
Latest problem for bank relates to whether employees improperly altered customer data.
Clock, partisan divisions could stymie adviser regulation reform, HSA contribution limit increase
Broker accepts eight-month suspension and $10,000 fine after he prepared a 'script' with false information for 72-year-old woman.
Report provides a glimpse of the RIA universe under the SEC's new disclosure rules
Commonwealth and JPMorgan reevaluate use of commissions in retirement accounts.
The president is trying to expand access to workplace retirement savings, but has acted contrary to this goal in the past.
But the election of Donald Trump gained those firms back $56 billion in market value, as investors expected a rollback of financial regulations.
