Steven Pagartanis, a hearing no-show, had been discharged by Lombard Securities.
Exam priorities and lawsuits are zeroing in on account switching.
Finra also suspends Mina Mishrikey for three months
Ponzi-scheme operator Daniel Glick agreed to help recover investor assets from Israel.
Lawsuit also names Financial Engines and Alight, both providers of financial advice to the plan.
Firm had filed a lawsuit against Ryan C. May, alleging he was soliciting old clients in violation of his employment agreement.
Regulator to meet April 18 to consider three-part plan that includes disclosure document, broker standard, adviser-standard interpretation.
Firm is moving to fees based on the amount of each customer's assets.
Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
The scheme involved soliciting the clients of another barred adviser.
Ms. Havlik will oversee Finra's surveillance and examination programs.
Domingo Gonzalez deposited client check into his bank account and spent it.
It could become a flash point that goes beyond semantics.
William Brunner had resigned from Investment Planners Inc. last May.
Group advocating for investments like REITs, BDCs, close-end funds, and energy and equipment leasing programs changes name to Institute for Portfolio Alternatives.
Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis
Firms's advisory arms settle with SEC over breaching fiduciary duty and failing to disclose conflicts.
Concurrent concern brewing over a pilot program being beta-tested through next year, possibly longer.
Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08.
US authorities investigating whether unit inappropriately sold clients in-house investments.
