FINRA slapped the firm, valued at $7.6 billion as recently as July, with a $1.25 million fine for failing to meet the requirements of the regulator's Best Execution rule.
Derek Notman describes his journey from a high-volume bricks-and-mortar office-based practice to an entirely virtual one.
The Dallas-based investment management firm shared its outlook for how to differentiate and what financial advice will look like in the years to come.