Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.
Anthony Mastroianni Jr. allegedly engaged in "in and out" trading of speculative stocks.
Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.
Aaron Johnson took $620,000 in excessive fees from clients.
Reps collectively managed $423 million at their former firms.
The three-member adviser team expands the footprint of Syntal Capital Partners.
Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.
Action could lead to permanent suspension and revocation of his CFP certification.
Buying just the exchange-traded funds would add $36 billion in assets to its PowerShares family
