Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
North American Securities Administrators Association sees room for improvement in supervision.
TD Ameritrade study finds lead advisers and associates also getting younger.
Giving up 48% over 2018 period; last year's giving totaled $5.2 billion.
Finra says three individuals with criminal convictions worked for the firm due to inadequate background checks.
Ernie Garcia was being investigated for altering receipts.
L.A.-based Lido Advisors intends to manage First Western Financial's fund business.
The role includes leading the company's private bank and Abbott Downing.
Austin Private Wealth had been affiliated with Ameriprise.
Michael Garris, who executed 26 unauthorized transactions, was also fined $5,000.
