Securities attorneys say prosecutors may try to 'flip' indicted CFO Brian S. Block to get to former REIT czar. <b><i>(More: <a href="http://www.investmentnews.com/article/20150921/FEATURE/150919894/how-nick-schorsch-lost-his-mojo"_blank">How Nick Schorsch lost his mojo</a>)</i></b>
Henry Al Dean Watson failed to show up during inquiry into arbitration claim alleging excessive trading and commissions, unauthorized trades and portfolio mismanagement.
Predicts next market downturn will usher in new era of big broker-dealer mergers
Starting out in compliance, she was at the firm for 13 years, most recently as head of transitions.
She transferred $350,000 from a client's account to an imposter in phishing scam without following firm's verification process.
CEO Robert Moore proves he's not afraid to go toe-to-toe with LPL to recruit top advisers.
Two large independent broker-dealers are latest to retain commission structure. <b><i>(More: <a href="//www.investmentnews.com/article/20161030/FREE/161029902/broker-dealers-split-on-commissions-in-wake-of-dol-fiduciary-rule"" target=""_blank"" rel="noopener noreferrer">B-Ds split on commissions in wake of DOL rule</a>)</i></b>
Investors Capital is in the process of closing down and moving its advisers to another Cetera firm.
The regulator cited a broad breakdown with the firm's failures to supervise client and adviser information.
