Regulator censured the firm for failing to maintain copies of messages.
Wealth Design Services in Rochester, New York, also provides tax services.
Wealth Partners Capital buys into Forbes Family Trust, MAI Capital and EP Wealth Advisors.
Stephen Eubanks of Hingham, Mass., claimed to be an RIA running a hedge fund.
Cincinnati sister-brother team and duo in Michigan shift firms.
Matthew Calenza forms Boulevard Family Wealth RIA.
James Denholm III launches IronBridge Private Wealth in Austin.
Claimants wanted $3 million for alleged fraud, churning and negligence in bond trades
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Vice chairman and CIO of The Travelers succeeds Jack Brennan effective July 18
