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