Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
Hybrid Hogan Eller Wealth Management in San Antonio, Texas, affiliates with New York firm.
Bank claims Gabriel Campbell took confidential client information
Hearing panel also permanently bars broker Bruce Zipper for ignoring suspension.
Terry McCoy barred from working in a supervisory capacity and fined $75,000 for missing Ami Forte's churning of elderly client's account.
Justin Mair says he 'mistakenly' paid his electric bill with client money.
Flood Financial Services switches broker-dealer and RIA platforms.
Settlement is part of a $26 million agreement between the independent broker dealer and the North American Securities Administrators Association.
Addition of $495 million Wisconsin hybrid brings AUM to $8.4 billion.
SEC says firm employees misled customers into overpaying for RMBS debt.
