Found firm executed unauthorized and unsuitable trades in client's accounts.
Formerly of Northwestern Mutual, Donnell Noah Bowen failed to appear at his hearing.
Twenty-year-old Financial Principles is based in Fairfield, N.J.
RFG Advisory has 38 advisers in four states.
Addition of San Diego-based firm brings EP's AUM to $4 billion.
Francis Acosta signed customer's name on forms requesting account transfers.
Maria Tamburro also failed to respond to Finra requests for information.
Four-person Undivided Wealth Management is based in St. Louis.
Agency says Tibor Klein used 'material, non-public information'
Procyon Partners hires Antonio Rodrigues from Olson Mobeck
