A side firm has brought a Finra arbitration claim against five of the advisers, who have filed a counterclaim in federal court.
The Republican nominee is trying to reset his presidential campaign after a string of missteps.
A hearing is set for Wednesday; the adviser couple says the documents show the organization singled them out for discipline in use of compensation label.
Revised revenue allowances and other adjustments, originally praised by advisers, are turning out to be less advantageous than expected.
The lawsuit alleges the university and a university-affiliated health system breached their fiduciary duties by causing participants in their 403(b) plans to pay excessive fees.
Nicholas Mitsakos and Matrix Capital Markets pretended to manage millions, SEC alleges.
Regulators should coordinate these different standards as soon as possible to minimize confusion for investors.
Robert Edward Loftus was discharged in 2013 and found in breach of a promissory note
Mutual fund firms move defensively toward active ETFs.
As broker-dealers move toward uniform commissions to comply with Labor Department rule, investors could end up paying higher prices than in an unregulated environment. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The DOL rule from all angles</a>)</i></b>
State plans would not be subject to ERISA, which some in the industry fear will give them a leg up on private plans.
Brian James Egan agreed to be barred from the brokerage industry.
Brokerage firm failed to notify customers of changes in their account records as a result of a computer coding error, regulator claims.
Agency's Advisory Committee on Small and Emerging Companies wants people with a Series 7, 65 or 82, or a CFA, to be eligible to buy unregistered securities.
Case follows the SEC making wrap accounts an examination priority this year; agency is looking at whether advisers are acting in clients' best interests with these vehicles.
Ex-Morgan broker Aaron Parthemer put a pair of athletes in investments that later turned out to be worthless.
Republican presidential candidate's acceptance speech to the RNC makes big promises but offers little specifics on how he would cut taxes or reform regulations.
Louis D. Dworsky was found in breach of promissory notes when he left the brokerage firm.
The settlement was part of a broader crackdown by regulators in five states on insurers who allegedly failed to make death benefit payouts on a timely basis.
Finra said the adviser misled five IRA customers and then did not give an honest account of his actions.
