Broker allegedly manipulated a client account to maintain his status for working with international clients.
Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank.
Finra charged Stanley Niekras in 2016 with violating industry catch all Rule 2010, but couldn't produce testimony from key witnesses.
Colorado firm JBA Wealth Management moves to LPL.
Fired in 2016, Kevin Smith was barred Monday for not providing testimony in investigation.
New stock and business loan plans are part of a broader outreach to 8,000 advisers.
Judge rules that John Lockette was bound by a company policy requiring employees to arbitrate all claims.
Melvin Wimmer was also ordered to pay more than $3 million in restitution to clients.
She is being replaced by Jonathan de St. Paer, currently a senior executive at the group.
Accounting scandal from 2014 could wind up costing shareholders 75 cents per share, analyst says.
