The Hedonova Fund misled investors into investing $12.5 million, the SEC claimed in federal court.
The firm said its buffer ETFs will appeal to conservative retirees.
Ameriprise said a father-son team that left it for LPL solicited clients and took information.
A new study shows that cash allocations are declining while ETF popularity has increased.
The move follows a disastrous two-year stretch of stock-market calls by Kolanovic.
Chauncey Lufkin III and his firm, Lufkin Advisors, consented to $425,000 in civil penalties.
The costs of a typical home consumed 35.1% of the average wage in the second quarter.
The regulator said Merrill Lynch caused customers to pay avoidable fees on brokerage account recommendations.
When it comes to political change, one strategist said, "boring is beautiful."
The proposal shows the mounting challenges for small schools to make ends meet.
The deal, which is expected to close in the third quarter, will create a $24 billion AUM RIA.
The company found that the Gen X adult age group felt the least secure about retirement.
The Fed chairman said more evidence is needed that inflation is nearing the central bank's 2% target.
The CFA Institute said it's seeing more people enroll in the program while they're in college.
Big Tech should continue dominating the market even if profits slow, he said.
Wall Street strategists are urging clients to position for sticky inflation and higher long-term bond yields.
Humans will still be overseeing a number of functions, including risk management, the company said.
Yields on five-year notes have climbed more than 20 basis points from a low of about 4.20% just under three weeks ago.
A growing share of homes have loans closer to the prevailing rate.
Scottsdale advisor Jacob C. Glick was banned for 10 years after causing clients to lose $2 million, the agency said.