Failing to report client complaints, misleading firm results in six-month ban and $20,000 fine.

Representative attempts to pay off client following complaint.

Representative thrown out of the industry for falsifying client signatures.

Those with advisors are notably more confident than those without.

Regulator penalizes representative with $40,000 in fines for know-your-client failures.

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

Mutual fund representative also ignored regulator’s investigation into his conduct.