Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
Kenneth Mathieson's one-year suspension for outside activities cut to six months.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
Record payouts relate to information that helped the agency win a $415 million settlement in 2016
Chairman Jay Clayton says 'the sooner the better' when asked when an SEC fiduciary rule will be ready.
ETP industry is reconsidering disclosures at issuance and sale.
Advisers must figure out how state, SEC and insurance regulations will affect their businesses
A much more feasible remedy has recently been put forth by PIABA.
Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.
Like the Senate version, the bill would make it easier for smaller employers to join open multiple employer plans
Stephen Woods allegedly settled customer complaint on his own.
Groups on both sides of the fiduciary debate had plenty to say.
Trying to figure out who qualifies for the deduction — and who doesn't — is proving to be a monumental challenge.
Future developments will hinge on whether the Labor Department continues the fight to remake the regulation its own way.
Morgan Stanley, LPL and Principal among stocks that climbed higher than market benchmarks Friday.
Advisers and brokers alike believe that the SEC will deliver a fiduciary standard because consumers want it.
FBI agents have interviewed some wealth-management employees.
Agency official promises to clear up questions created by 2017 guidance.
Financial Services Chairman Hensarling makes it clear the House won't rubber-stamp the Senate's bill.
The Republican appointee wants to make sure there are a variety of payment models and levels of service.
