Warren, Pa.-based bank has 24 advisers in 164 offices in New York, Pennsylvania, Ohio.
Up to 30,000 people may not have received payments from insurer.
Regulator said non-standard trades led to firm miscalculating net capital.
Four-adviser group joins Fieldpoint Private in Greenwich, Conn.
Mark McGrath moves to firm's employee channel in Timonium, Md.
Leslie Koonce denied he took part in private securities transactions.
Agency orders Louis Mohlman Jr. to pay $100,000 in civil penalties.
Justin D. Meadlin will pay more than $300,000 for inflating firm's AUM, touting nonexistent fund.
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
