The company remains mum about reports that Mr. Roth has been replaced by chairman Robert Moore as CEO. <i>Plus: <a href="//www.investmentnews.com/article/20160815/BLOG09/160819961/key-principles-to-guide-corporate-governance-procedures-for-the-ibd"" target=""_blank"" rel="noopener noreferrer"> Mr. Roth and Mr. Moore discuss the principles they developed for Cetera's board</a></i>
Coming off a gloomy 2015 of weak revenue growth, the forecast for this year is for more of the same.
Joseph J. Lampariello also ordered to pay nearly $40 million in restitution.
Preferred Apartment Communities Inc. is selling nontraded preferred shares to help fund its growth, giving brokers a 7% commission.
New regulation was catalyst for broker-dealer to impose uniformity, says LPL Financial's Mark Casady.
Nearly three years after he was thrown out of the securities industry, the adviser has filed another appeal.
Move comes at a time when industry is struggling from new regulations.
Lobbying group's chairwoman said its biggest member firm bolted after it couldn't get a break on annual dues for large firms.
A side firm has brought a Finra arbitration claim against five of the advisers, who have filed a counterclaim in federal court.
