Regulator investigating amid suspected trading misconduct
Group to focus on investor-advisor relationships, complaints, suitability
Former fund rep was named in clients' wills and solicited money from them
Kriegler acknowledges additional burden to advisors resulting from regulatory changes
Firm sanctioned over capital issues, internal controls and record-keeping
Panel defers penalties while ex-rep repays clients
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
Approval came nine months after the firm filed its initial application
Collections plunge as hefty sanctions are handed out
New SRO aims to harmonize requirements for fund dealers and investment dealers