Joseph Yanofsky arranged the buys without getting customers' approval.
Brokers and staff in Baton Rouge, La., move to firm's employee unit.
She cites financial company leaders who have said they are prepared to comply with rule as is.
Finra also suspends the broker, a firm lifer, for 18 months
Arbitration puts blame on client's power of attorney, not firm
Anthony Mastroianni Jr. allegedly engaged in "in and out" trading of speculative stocks.
Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.
Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.
Reps collectively managed $423 million at their former firms.
Aaron Johnson took $620,000 in excessive fees from clients.
