Increased regulation is straining profit margins among broker-dealers, sending many of them into the arms of their bigger brethren.
Complaint alleges Ed Butowsky and Fox News 'worked in concert under the watchful eye of the White House' to concoct phony story to divert attention from Russian hacking in 2016 presidential campaign.
John Kai had been fired earlier this year for violations of communications policies, outside business activities and borrowing funds from a client, to name a few.
Companies and groups weighing in with comment letters have vastly different viewpoints on the delay's potential impact.
The regulator's Office of Compliance Inspections and Examinations issued a risk alert Thursday about potential violations of advertising rules.
Bank had left Cetera when its parent company, RCS Capital, filed for bankruptcy.
Derek Burke replacing Jerry Murphy as president of firm.
Shares of LPL, Raymond James and Ameriprise are among those outperforming their benchmark, while Oppenheimer Holdings is down by double digits.
Lorenzo C. Esteva was fired earlier this summer for giving clients documents with false account information.
The case is the latest setback for Mr. Holt, a former attorney who has been disbarred, thrown out of the securities industry and is currently serving a 10-year prison term.
