Bloomberg
Regulator says firm ignored churning by three reps who have been charged with fraud
Futurity First was affiliated with Mutual of Omaha Investors, ProEquities, AXA and Cambridge.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
The extent to which an employer can completely remove fiduciary liability through outsourcing is an unresolved issue.
James Hocker took money from 25 mostly elderly, unsophisticated investors.
Transaction could involve Guggenheim taking on Munich Re's asset management unit
Daniel Abel agrees not to solicit his former clients at the firm.
Lisa Marie Schurhammer said to have engaged in phony annuity and gold sales.
Regulator was investigating Joseph Clottey's compensation irregularities.
Hybrid manages $130 million in Durham, N.C.
