The company's earnings topped analysts' expectations by 4%.
Maddox Group's Adam Belardino appropriated hundreds of thousands and filed unwanted insurance policies.
A number firms are facing fines and lawsuits for recommending funds managed by GPB Capital Holdings.
A Finra arbitration panel agreed that the policies were unsuitable for a retired Florida couple.
A Cerulli report says that millennials now tripping into the mass affluent category want help.
Tyler Rigsbee of California took $158,000 from two clients, prosecutors said.
A little less than half of Americans think their savings and income will last through their lifetimes.
Wealth management has enticed private banks and trust companies and they want to grow.
James Arthur McDonald Jr. is accused of lying to investors and misappropriating millions.
A Florida couple claimed they lost $5.5 million on the risky options product, which they said was unsuitable.
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