Deal for John D. Dovich & Associates in Cincinnati adds $600 million in AUM.
Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.
Legend Securities and its barred owner and reps ordered to pay.
Advisers Christopher Sanders, Daniel Crews move with associate.
Jason Sugarman is alleged to have directed a fraudulent scheme involving Native American tribal bonds.
Former IFG rep Jeffrey Schwebach ordered to disgorge $19,534 plus interest.
Eleven-person Venture Visionary Partners is based in Toledo, Ohio
Agency says Donald LaGuardia Jr. misappropriated $2.6 million from investors.
Four-adviser group in Lewes, Del., operates as MCH Wealth Management.
40 Under 40 alumni share their thoughts on where they see the financial advice industry going.
