Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.
Agency said Conrad Coggeshall raised $700,000 from four investors that he claimed was going to be invested in an M&A firm.
A broker with a personal stake in a client's finances is one big red flag.
Samuel DelPresto and his MLF Group ran 'pump-and-dump' microcap scheme
Firm was also censured and ordered to pay restitution and rescission to 28 clients.
Joseph Viet Duy Phan was a no-show at a hearing looking into his conduct.
Pasadena, Calif.-based indie will be fifth B-D under Atria umbrella
BostonPremier Wealth is based in Hanover, Mass.
Yuma Investment Group and Diamond Wealth Partners will use tech platform.
