Andrew Welsch

The advisor targeted clients he obtained at Social Security seminars, according to prosecutors.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

The regional firm's new hires joined from FSC Securities, Morgan Stanley and Wells Fargo.

Moves by Nevada and others threaten to create compliance confusion.

The firm's latest hires include an industry veteran of nearly four decades of experience.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

The broker persuaded clients to write checks payable to him, the regulator claims.

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The independent firm was founded by two former Merrill Lynch advisors in 2012.

The move will likely be seen as a win by the opponents of the regulation.

Ensuring that a client's windfall today lasts longer than just tomorrow takes more than financial acumen, experts say.

The three-adviser group joins the regional firm from Oppenheimer & Co.

The new hires are the latest recruits to join the regional firm.

Smaller brokerages are benefiting in big ways from cutbacks at three of the four largest firms.

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

Dan Rothenberg of UBS says it's given his team an "easier hurdle to be beat rather than a benchmark."

Recognize that you can't do it all by yourself, says Morgan Stanley's Mihir Patel.