Agency reports 108 stand-alone enforcement actions involving investment advisers and companies, up 31.7%.
Former RBC Capital Markets broker made distributions from his spouse's IRA without her approval.
Firm will repay $447,000 to clients it overcharged for more than seven years.
Wealth management boss Andy Sieg says firm's withholding of fees and commissions is in line with competition.
The broker-dealer lost 56 brokers and advisers in the third quarter, and not all of them low-producers the firm wants to shed.
The broker, Dennis Ferwerda, failed to cooperate in Finra's investigation.
Fired by Morgan Stanley in 2016, Bruce Plyer failed to give testimony in a Finra investigation.
Dawn Bennett just the latest in a growing list of malfeasance by advisers and others.
Overall, broker and adviser movement slowed during the quarter, with 101 teams shifting firms compared to 124 at this time last year.
LPL erases $50 million hurdle for new advisers to join so-called hybrid firms.
