Paul Elvidge got five years for forging clients' signatures and bilking accounts.
Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Regulator was looking into charges that broker forged customer signatures.
Survey of state securities regulators says most cases are undetected until too late.
Andrew Hill in Alpharetta, Ga., affiliates with HighTower.
Bank of America insider provided tips on major M&A transactions
Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
Mercer manages about $11 billion in assets, while Blue Moon manages $90 million.
Agency says manager overcharged funds $1.5 million
