Finra said Laura Shean took $124,000 from a customer's brokerage account to make six payments to the IRS.
Putnam research reveals more frequent, but less personal, adviser communications.
Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.
Firm looked the other way over Douglas Greenberg's legal run-ins, according to New York Times
Clyde Mick Jones accused of breach of fiduciary duty, violating state law.
Firm charges call center rep Benjamin Linser with taking client data
Austin, Texas-based Meritage's eight-person team will join larger firm's office.
Holly Arbuckle opted out of testifying at inquiry.
Regulator was investigating Matthew Singer's options recommendations.
Cody Rock resigned from State Farm in September.
