Regent Wealth Management Group serves approximately 110 high-net-worth households
Regulator says New York B-D's compliance associate had no training to perform duties.
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
Steve Baptist has also been suspended for 30 days and was ordered to disgorge commissions.
Rene Dierkes and Frank McKenna move to employee unit in Morristown, N.J.
State will allow advisers to delay disbursement of funds in certain circumstances
Cary Hall Jr. of Princeton, N.J., links with OSJ Gladstone Wealth Group.
Finra fines Ken Kavanagh $25,000 and suspends him for 18 months over outside activities
To meet sales quota, Karen Paek created six fake applications.
