James Brewer advises both small 401(k) clients, wealthy individuals.
William Brunner had resigned from Investment Planners Inc. last May.
U.S. authorities investigating whether unit inappropriately sold clients in-house investments.
'Ike' Ikokwu also must pay $80,000 civil penalties and repay $65,000 to investors.
Family concedes award is 'legally indefensible'; bank says it 'acted in good faith.'
US authorities investigating whether unit inappropriately sold clients in-house investments.
Study shows risks and rewards of market timing are more costly than you may think.
Governor revises fiscal plan as others question the rally's staying power
The W Source will help Ladenburg's female advisers build business referrals.
Top-tier service costs $3,700 a month
