There are very few digital leaders in wealth management, Dallas penny stock firm has shares suspended from trading and Working Mother magazine's list of the top 200 financial advisor moms.
The SEC said it had charged SunTrust for "improperly recommending more expensive share classes of various mutual funds when cheaper shares of the same funds were available."
The self-regulatory organization has recently changed its policy to allow people to access bulk data on firms, said FINRA President and CEO Robert Cook.
“I wish more of my colleagues and more elected officials, quite frankly, have signed not just the back of a paycheck, but maybe the front of one,” Rep. Ann Wagner said.
Luis Aguilar, former commissioner at the Securities and Exchange Commission, expects the agency to move on a fiduciary standard, especially if the DOL rule stays in place.