Finra said Laura Shean took $124,000 from a customer's brokerage account to make six payments to the IRS.
Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.
Putnam research reveals more frequent, but less personal, adviser communications.
Firm charges call center rep Benjamin Linser with taking client data
Clyde Mick Jones accused of breach of fiduciary duty, violating state law.
Firm looked the other way over Douglas Greenberg's legal run-ins, according to New York Times
Austin, Texas-based Meritage's eight-person team will join larger firm's office.
Regulator was investigating Matthew Singer's options recommendations.
Holly Arbuckle opted out of testifying at inquiry.
Cody Rock resigned from State Farm in September.
