June Strunk says Mystic, Conn., managers ignored complaints about broker improprieties and then ostracized her.
Finra also suspends Mina Mishrikey for three months
Ms. Havlik will oversee Finra's surveillance and examination programs.
Morrison Nordmann, based in East Lansing, changes broker-dealer affiliation.
Arbitration award of $805,000 just the latest in a series of payments Michael James Keane had to pony up to settle customer complaints.
Griffin Financial manages $120 million in Austin, Texas
Agency says Clifton Stanley and his company also defrauded seniors of $1.4 million.
Firms's advisory arms settle with SEC over breaching fiduciary duty and failing to disclose conflicts.
New York's attorney general says funds already show 'active share' information to institutions.
New Cerulli report says the economics of the business — plus heavy regulation — make it unlikely that big tech firms will want to get into the advice market.
