Former CEOs of eMoney Advisors and Lincoln Financial Network among those replaced with those having ties to the new private equity owner.
Advisor Group broker-dealer picks up Questar Capital from Allianz.
Broker allegedly manipulated a client account to maintain his status for working with international clients.
Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank.
Finra charged Stanley Niekras in 2016 with violating industry catch all Rule 2010, but couldn't produce testimony from key witnesses.
Colorado firm JBA Wealth Management moves to LPL.
Fired in 2016, Kevin Smith was barred Monday for not providing testimony in investigation.
New stock and business loan plans are part of a broader outreach to 8,000 advisers.
She is being replaced by Jonathan de St. Paer, currently a senior executive at the group.
Melvin Wimmer was also ordered to pay more than $3 million in restitution to clients.
