A former investment advisor and broker, Thomas Demergian, 63, has been sentenced to 4.5 years in prison for defrauding clients of approximately $1.8M.
The Australian government has granted millions of workers the legal right to disconnect from after-hours communications igniting debate.
Raymond James Financial has agreed to pay over $1.9 million to settle allegations of inadequate record-keeping tied to customer complaints.
LPL Financial LLC (“LPL Financial” or “LPL”) announced that the firm has entered into a definitive agreement to acquire The Investment Center Inc.