After Renee Altamirano declines to appear at a hearing, Finra bars her.
Frederick Holloway impersonated clients and altered documents, Finra says.
Former employee rep Robert Harrell II will use Raymond James as custodian
Former CEO Robert H. Shapiro and two others were arrested in connection with investment scheme that SEC claims defrauded 8,400 investors.
Martin Stancik, with Voya until 2014, is currently serving 65-month term.
Team of three sets up shop in Corpus Christi, Texas, as Coastal Bend Wealth Partners.
Some 500 affiliates of the brokerage/investment advisory business could join Cetera.
James Bylenga declined to take part in an inquiry into his conduct.
These are the business concerns that advisers should be planning for now
Nine reps, from Merrill Lynch, Raymond James and Wells Fargo, join firm.
