Vic Howie, Paige Passerallo and staff move to employee unit in Charlotte, N.C.
Four-adviser group in Nashville, Tenn., will use Independent Advisor Alliance as OSJ.
Philip Sparacino, a hearing no-show, had licensed revoked by New Jersey regulators.
Trio of advisers at Center for Wealth Management in Troy, Mich., change affiliation.
The changes should allow advisory firms to make better use of social media.
SEC says the firm's share-class selection calculator was inadequately tested and validated.
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Linan Abrego decided not cooperate with regulators investigating case.
Agency says firm also engaged in self-dealing transactions that profited firm's reps.
Regulator says firms failed to supervise share-class recommendations to plan investors.
