The company and an RIA affiliate are units of the former Sterne Agee
Both firms use LPL Financial as their broker-dealer.
Regulator says firm inaccuarately represented tax status of interest payments to clients.
Clients of Founders Financial paid 12b-1 fees when eligible for lower-cost shares
Three-adviser team at SecondHalf Coach is based in Latrobe, Pa.
Regulator says firm inaccuarately represented tax status of interest payments to clients.
Both firms use LPL Financial as their broker-dealer.
Clients of Founders Financial paid 12b-1 fees when eligible for lower-cost shares
Joshua Lambert took over his father's Ohio-based business after 15 years.
The firm consents to having inadequately supervised sales of complex products.
