LPL terminated registration of Sanders Spangler for violating company policy.
Former National Planning rep Jason David took break during exam.
Four-adviser group in Savannah creates Sounds View Wealth Advisors.
Two were involved in defrauding 100 investors out of $15 million in penny stock fraud case.
Those familiar point to rising competition and dented optimism as possible contributors.
Billionaire bond manager says a rate above 2% risks destabilizing the U.S. economy.
Finra barred Matthew Cochran for opening accounts held by 98 customers in trading ruse.
Chicago bank has 12 brokers at 21 metropolitan locations.
Jason Hemeon joins firm's employee unit in the Washington suburbs.
Finra panel says firm was liable for breach of contract and unsuitability.
