A trade group coalition wants to restore a rule implemented in 2021.
The increase was directly tied to client complaints arising from the 2022 market slump, the company said.
Spouses can argue they had nothing to do with their partners' tax misdeeds, but it's not easy.
The legal assault on corporate diversity initiatives is gathering steam.
At least one of the suits is requesting that a judge block the deal until the issues are resolved.
Schwab, Fidelity and financial industry trade groups said the move is long overdue.
Julie Su's work to limit independent contractors has drawn criticism from advisor groups.
State regulators filed three times the enforcement actions against RIAs as brokers, NASAA reported.
The former Hightower advisor argues that the clause is "illegal" and "unenforceable."
The company said in its annual report that the details of the fine are still under discussion.
Kristi Berge falsely told clients she was investing the money in retirement accounts, prosecutors said.
Ashley said the bank acted unfairly during a margin call.
The chairman of the Finance Committee says the policies aid tax avoidance.
The exemption would be granted to salespeople who do not present themselves to clients as advisors, he said.
TC Services pocketed an extra $900,000 from clients by failing to consider lower-cost options, the SEC said.
The firm failed to disclose Dave Portnoy's pay for promoting Van Eck's Social Sentiment ETF, the SEC said.
The agency "has overstepped its authority," Education Committee Chair Bob Good argued.
November's elections could impact the agency's rule plans.
Companies from a range of industries have been advertising how they're harnessing AI to improve operations.
John J. Woods defrauded retirees, military veterans and other clients of their life savings, prosecutors said.