Debbie Smith joins employee unit at Buckhead office in Atlanta, Ga.
James Schwartz made 256 unauthorized trades in accounts of four clients.
Robert Jackson Jr. is expected to join NYU Law School.
Frederick V. McDonald, Jr. allegedly failed to disclose risks and his own conflicts.
Sheryl Garrett is this year's InvestmentNews Icon.
After Renee Altamirano declines to appear at a hearing, Finra bars her.
Frederick Holloway impersonated clients and altered documents, Finra says.
Former employee rep Robert Harrell II will use Raymond James as custodian
Former CEO Robert H. Shapiro and two others were arrested in connection with investment scheme that SEC claims defrauded 8,400 investors.
Martin Stancik, with Voya until 2014, is currently serving 65-month term.
