Fund suffered several big swings during the first six months of this year.
Luke A. Eddy was suspended for three months and fined $5,000
The firm sells illiquid, high-risk and high-commission alternative investments.
Michael A. Bressman gained $700,000 from placing winning trades into his own personal accounts, the government charges.
Firm is in talks to acquire at least part of CTC/myCFO from Bank of Montreal.
Bahrain snags the top spot in annual poll, while the U.S. ranking sinks amid concerns about safety and affordable health care.
The complaint illustrates the persistence of such accusations among the nation's more than 600,000 securities brokers.
Michael Siva was one of seven people charged with securities fraud last year.
Latest problem for bank relates to whether employees improperly altered customer data.
Buyers have included affiliates of the Pritzker family, Bill and Melinda Gates, and the family office of Seattle Seahawks owner Paul Allen
