Finra also fines firm $800,000 for failure to supervise UIT rollovers
State regulators also see trouble in real estate, cryptocurrencies and social media investments
Finra and exchanges say firm’s clients generated more than 50,000 alerts
Agency says Keith Springer also tried to hide previous regulatory problems
Transamerica study warns that 'leakage' from plans could threaten retirement
Christopher Stanford and Matthew Douglas are joining the employee unit
Ryan Skinner created scheme to have seniors liquidate securities to buy annuities
Current market dynamics favor 'an oligarchy of plan providers,' according to the report.
Donald LaGuardia, who headed defunct L-R Managers, faces 20 years in prison.
Specialist in multi-asset investing has three funds and $1.8 billion in AUM
