The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
A revocable trust with a co-trustee might have averted the former astronaut's battle with two of his children.
Basically, the legislation would create simplification.
Robo-adviser cited for violating customer protection rule and not maintaining its books and records correctly.
If the presidential election had gone the other way, the Labor Department would have overcome the regulation's legal challenges — or at least still be in the fight.
James Hocker took money from 25 mostly elderly, unsophisticated investors.
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
'Buckets of Money' adviser Raymond Lucia is entitled to a new hearing, court rules.
Developers demonstrated real-life use cases showing how firms can deploy the next-gen technology.
The rule regulated what was already happening within the defined-contribution industry anyway.
But it could give rise to new hearings for some advisers who are already in litigation with the agency such as Dawn Bennett.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
