Finra also suspends Mina Mishrikey for three months
Lawsuit also names Financial Engines and Alight, both providers of financial advice to the plan.
Ponzi-scheme operator Daniel Glick agreed to help recover investor assets from Israel.
Finra was investigating Tyler Harris over his personal banking activity.
In the latest quarter, the broker-dealer suffered a net loss of 145 brokers.
Firm had filed a lawsuit against Ryan C. May, alleging he was soliciting old clients in violation of his employment agreement.
They're highly educated and drowning in debt, but have decades to get on track.
AXA Equitable and Ohio National have recently tried switching consumers out of VAs with rich benefits through buyouts and exchanges.
Regulator to meet April 18 to consider three-part plan that includes disclosure document, broker standard, adviser-standard interpretation.
Those who work with an adviser are most likely to buy an annuity.
Regulator was investigating Kevin Lee's possible undisclosed business activities.
Firm is moving to fees based on the amount of each customer's assets.
Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
Consolidation, unbundled platforms and the use of proprietary funds play a role, according to retirement plan advisers.
Ingham Retirement Group, which works primarily with employer-sponsored plans, left because the firm's brokerage business had been declining.
Upcoming reports on companies' profits may fail to fulfill high expectations.
Large regional firms and their specialist advisers seem to be in the regulator's cross hairs.
Also censures firm, which agrees to review its supervision practices.
Customers alleged Scott W. Palmer made unsuitable energy stock recommendations.
The scheme involved soliciting the clients of another barred adviser.
