No-show at hearing on outside deals leads to action against repeat offender David Barber.
Legislation directs the regulator to use fines to establish a pool of money to cover shortfalls.
High fees are a red flag, but prudence is the ultimate key to defeating a claim, according to advisers and attorneys.
The Senate bill seems intent on not helping the giant financial institutions that fueled populist anger in the lead-up to the 2008 financial crisis.
Fidelity claims Christopher Corcoran's conduct threatens approximately 200 Fidelity client households, representing more than $528 million in client assets.
About 60 former wirehouse staff claim they lost about $400 million when their Merrill stock dropped in 2007-08 due to the firm's exposure to mortgage-backed securities.
Michael Ralby declined to take part in the investigation, leading to the regulator's action.
National database would allow workers to check for forgotten 401(k) money after a job change.
Plan participants claim 'inefficient and costly' system.
Broker Christian S. Gherardi of Miami had sought $16.5 million in damages.
Two months after the insurer provided the names of those owed pension payments, the state has located the majority of them.
Eversheds Sutherland says regulator imposed fourth highest total sanctions over past decade
Regulator investigating withdrawals from bank account of ex-rep Norris Roberts Jr.
The three-judge panel reversed a ruling by a U.S. District Court judge in Los Angeles.
Comment period ends April 27.
SEC has made a crackdown on high-fee funds a top priority, including a program for self-reporting failures.
Group supports the SEC's effort to establish a uniform standard of care.
Consumer Federation of America cites Massachusetts action as one to emulate, in letters to the Labor Department and various regulators.
Authorities say Jeffrey Palish's misdeeds against elderly clients netted him anywhere from $180,000 to $600,000.
Puerto Rican residents charged the firm with fraud and breach of fiduciary duty.
