Margarida Correia

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

Some say the changes could make the Federal Housing Administration's program less attractive to borrowers, but they could also improve the market.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

Retiree savings are only as safe as the places that hold retirees' personal information, says expert.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

Retirees can open health savings accounts, which offer tax breaks on contributions and qualified distributions, and tax-free growth on investments.

U.S. Bank hired an executive to lead the fledgling Business Owner Advisory Services group on a national level.

"We're offering the same if not better-quality products at a highly reduced fee," said Eileen Duff, head of distribution at iCapital Network.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

The program rejoined Cetera's platform after a brief six-month stint with LPL.