Massachusetts Secretary of the Commonwealth William Galvin on Thursday said he had fined MML Investors Services $4 million over the firm’s failure to supervise agents, including Keith Gill, who is also known on some social media sites as “Roaring Kitty.” ...

William Galvin, Secretary of the Commonwealth of Massachusetts, on Wednesday charged Charles Schwab & Co. over unethical and deceptive practices that allowed a third-party investment adviser to continue to collect advisory fees from Schwab customers’ accounts for years after his ...