David R. Humphrey also settled parallel civil charges with the SEC and will pay more than $108,000 in penalties.
The new firm, Executive Wealth Group, will custody assets with Raymond James.
Will continue to sell Vanguard's ETFs; says culling aims to reduce 'less popular' funds.
Says advisers working at a credit union misled investors on how they were paid
Financial Planning Re-entry Initiative will establish internships for returning professionals.
Finra censures Royal Alliance, FSC, SagePoint, Woodbury, levies $550,000 in fines.
Retirement plans and charitable organizations were sold higher-cost share classes though they were eligible for lower-cost shares.
Two Texas reps sign on to employee channel
Firm hires Katherine Collins to lead sustainable investing team
Jesse Joseph Holovacko took $255,000 from client IRA claiming to buy bonds.
