Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.
Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.
Reps collectively managed $423 million at their former firms.
Aaron Johnson took $620,000 in excessive fees from clients.
The three-member adviser team expands the footprint of Syntal Capital Partners.
Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.
Action could lead to permanent suspension and revocation of his CFP certification.
Buying just the exchange-traded funds would add $36 billion in assets to its PowerShares family
Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.
