Former National Planning rep Jason David took break during exam.
Those familiar point to rising competition and dented optimism as possible contributors.
Two were involved in defrauding 100 investors out of $15 million in penny stock fraud case.
Billionaire bond manager says a rate above 2% risks destabilizing the U.S. economy.
Finra barred Matthew Cochran for opening accounts held by 98 customers in trading ruse.
Chicago bank has 12 brokers at 21 metropolitan locations.
Jason Hemeon joins firm's employee unit in the Washington suburbs.
Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
Finra panel says firm was liable for breach of contract and unsuitability.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
