The two wealth managers are located in the suburbs of Dallas.
SALI shows whether advisers have a judgment against them in an enforcement action
Craig Walker was permitted to resign after 79-year-old customer complained.
John Banks is joining the employee unit
Finra panel also lets Miguel Ballestas off the hook for $407,000 note
Unless Howard Present pays $12.4 million in penalties, interest and disgorgement, he can't be reinstated
Payment would settle class action filed by current and former reps over commissions, expenses.
EBRI says almost two-thirds of employees who are happy with their benefits have high morale.
Tom Anderton and Ryan Howard join 626 Financial in Portage, Mich.
Cirrus Wealth Management in Cleveland has four advisers, four staff.
