California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
Four advisers join employee-channel offices in New York's Westchester and Long Island suburbs.
Firms allegedly sold AlphaSector strategies with false track records.
Calif.-based Continuum Advisory makes change after only 20 months.
The association of small advisers had been affiliated with the recently-acquired NPC.
Four Points Capital Partners clients of Zachary Berkey and Daniel Fischer said to have lost $573,867.
Peter Hiltz will open the first Cincinnati office for the Oregon-based RIA.
Regulator says Bradley Mascho abetted scheme involving $20 million in convertible and promissory notes.
Firm censured, agrees to provide remediation to clients affected.
