Plaintiffs concede jury awarded too much money in estate fight.
Industry groups and investor advocates alike seek enactment of the measure that increases workplace plans, eases annuity inclusion.
Gregory Smith and Kirbyjon Caldwell face criminal and civil charges
The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'
Clyde Mick Jones accused of breach of fiduciary duty, violating state law.
New rule, effective in 2019, requires best-interest standard in all aspects of financial advice.
Broker-dealer regulator previously suspended David Warren Olson for promissory note default.
Kevin Michael Clouse left the wirehouse in February 2017, months before the firm pulled out of the protocol agreement.
Firm admitted it failed to file 'suspicious activity reports' on numerous suspicious transactions, the SEC says.
Lawrence Fawcett Jr. had consented to making unsuitable recommendations.
Regulator was investigating Matthew Singer's options recommendations.
Cody Rock resigned from State Farm in September.
5th Circuit decision may lead to three tiers of client protection.
The question now becomes whether Alliance Affiliated Equities Corp. will be able to collect the arbitration award, a problem investors often face.
Agency says firm failed to take action against pump-and-dump fraud.
Rep. Bill Huizenga, chair of House financial subcommittee, casts doubt on 'systemic problem.'
Complaint alleges the decline in the stock cost plan participants an estimated $135 million.
LPL terminated registration of Sanders Spangler for violating company policy.
National Association of Fixed Annuities puts focus on 5th Circuit Appeals decision to kill regulation.
Its routing of customer orders to electronic traders triggered $42 million fine from New York state.
