State will allow advisers to delay disbursement of funds in certain circumstances
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.
End of an era: Sweney Cartwright will operate as the Columbus, Ohio, branch office of Boenning & Scattergood Inc.
Orlando Vargas was reimbursed for computer equipment he never bought.
Beth Hamilton refused to appear at a hearing looking into inaccurate reimbursements.
Signet Strategic Wealth Management is based in Westlake Village, Calif.
Court also orders Hector May to pay $8.4 million in restitution.
Matthew Pruitt and Matthew Fisher join employee unit in Doylestown, Pa.
Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
