Survey of state securities regulators says most cases are undetected until too late.
Andrew Hill in Alpharetta, Ga., affiliates with HighTower.
Regulator was looking into charges that broker forged customer signatures.
Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
Bank of America insider provided tips on major M&A transactions
Mercer manages about $11 billion in assets, while Blue Moon manages $90 million.
Agency says manager overcharged funds $1.5 million
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
George Dahl appeared at Finra hearing but did not provide requested testimony.
