Agency says firm failed to take action against pump-and-dump fraud.
Four-adviser group in Savannah creates Sounds View Wealth Advisors.
Former National Planning rep Jason David took break during exam.
LPL terminated registration of Sanders Spangler for violating company policy.
Two were involved in defrauding 100 investors out of $15 million in penny stock fraud case.
Those familiar point to rising competition and dented optimism as possible contributors.
Billionaire bond manager says a rate above 2% risks destabilizing the U.S. economy.
Chicago bank has 12 brokers at 21 metropolitan locations.
Finra barred Matthew Cochran for opening accounts held by 98 customers in trading ruse.
Jason Hemeon joins firm's employee unit in the Washington suburbs.
