Broker attended partial day of hearing, then declined to show up for the rest.
Steven Pagartanis, a hearing no-show, had been discharged by Lombard Securities.
June Strunk says Mystic, Conn., managers ignored complaints about broker improprieties and then ostracized her.
Finra also suspends Mina Mishrikey for three months
Ms. Havlik will oversee Finra's surveillance and examination programs.
Morrison Nordmann, based in East Lansing, changes broker-dealer affiliation.
Arbitration award of $805,000 just the latest in a series of payments Michael James Keane had to pony up to settle customer complaints.
Griffin Financial manages $120 million in Austin, Texas
Agency says Clifton Stanley and his company also defrauded seniors of $1.4 million.
Firms's advisory arms settle with SEC over breaching fiduciary duty and failing to disclose conflicts.
