Gregory S. Brent declined to provide testimony for Finra inquiry into his termination.
Lynchburg, Va.-based advisory firm has 13 employees.
Marc Ravenscroft kept reimbursement after receiving charge reversal.
Securities regulator says firm failed to supervise agents over suitability.
Gerald Cocuzzo involved in $131 million market manipulation scheme.
George Thoreson tried to keep penny stock's price high to enable Nasdaq listing.
Move will create global sustainable investing firm managing $13.9 billion
Brokers in Chicago and Nashville collectively managed $325 million.
Atlanta-based Scott McQuilken and Richard Reasoner affiliate with Arkadios Capital.
