The information exposed includes names, addresses, dates of birth and Social Security numbers.
Plaintiff's lawyer says junk bonds, futures contracts and derivatives were inappropriate for his clients.
The regulator sees patterns in the behavior and disclosures of high-risk brokers.
After a payday of $75 million or more, CEO Joe Duran plans to join Goldman in a senior position.
Additional obligations would be imposed on these firms such as requiring them to create reserve accounts to pay unpaid arbitration awards.
American Funds sponsor still faces uncertain future as investors flock to low-cost, passive investing.
Advisers selling wealth management or financial wellness services should be careful, according to experts.
A roundtable of top advisers discusses what it will take to innovate in an industry that likes to maintain the status quo.
Goldman is paying $750 million for the RIA aggregator, according to one source.
Claimants alleged custodian aided and abetted Ponzi scheme.