Paul Smith allegedly raised $2.35 million without telling his broker-dealers.
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
KMS snags National Planning Corp. team, while Kestra adds retirement specialist team from Cadaret Grant
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
Firms allegedly sold AlphaSector strategies with false track records.
Four advisers join employee-channel offices in New York's Westchester and Long Island suburbs.
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.
