Finra says Bear Stearns' flawed system led to securities segregation issues
Glen Smith, Robert Casey and two in staff set up shop in Mound, Texas.
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
Father-daughter team of John and Deanna DeRosa in Newport Beach join employee channel.
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
Regulator said firm's review system was 'flawed in significant respects.'
RIA firm based in Evansville, Ind., has 13 employees.
Investor alert advises wariness over too-good-to-be-true stock stories.
Regulator says Ronald Fossum Jr. misappropriated assets and lied to investors.
