Christine Idzelis
InvestmentNews reporter. Twitter: @CIdzelis
InvestmentNews reporter. Twitter: @CIdzelis
Ash Narayan's right to use CFP certification temporarily suspended following SEC complaint
The firm and owner Marc Broidy, of Beverly Hills, Calif., allegedly had more than $1.4 million of ill-gotten gains.
David Hobson exploited inside information provided by his friend, who worked at a pharmaceutical company.
Profitability is up 27% since 2011 as firms become more efficient through technology
Eric Zakarin was also liable for $357,000 of Wells Fargo's attorneys' fees.
Competitive pressures on smaller firms present opportunity for deal making.
Retirees lost $140,000 after Christopher Ariola unduly concentrated them in energy, gold.
Members of TD's 'Advisor Direct' program may develop new clients. (Related read: RIA firms see record number of M&A deals in first nine months of 2016.)
The sale of large advisory firms with $1 billion to $5 billion is surging, says DeVoe & Co.
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
