David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Linan Abrego decided not cooperate with regulators investigating case.
Agency says firm also engaged in self-dealing transactions that profited firm's reps.
Hege Financial Group is five-adviser team in Winston-Salem, N.C.
Regulator says firms failed to supervise share-class recommendations to plan investors.
The limit on contributions to IRAs is unchanged at $6,000.
Finra had ruled that the firm failed to supervise a broker who operated a Ponzi scheme.
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Regulators freeze assets and ask court to order restitution for harmed customers.
Jimmy Blackburn, Reed Potter Jr. form Legacy Financial Investment Services in Pikeville, Ky.
