SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.
Letter of consent comes after firm paid $1.5 million in related arbitration case.
Sonya Camarco accused of diverting more than $850,000 from client accounts.
Barbara Waters oversaw administrators in firm's wealth management group.
Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.
Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.
Michael Moses falsely claimed 24% returns, and lost most of clients' money.
More than 698 deficiencies found in 1,200 exams, says NASAA.
