Clients of Founders Financial paid 12b-1 fees when eligible for lower-cost shares
Three-adviser team at SecondHalf Coach is based in Latrobe, Pa.
Regulator says firm inaccuarately represented tax status of interest payments to clients.
Both firms use LPL Financial as their broker-dealer.
Clients of Founders Financial paid 12b-1 fees when eligible for lower-cost shares
Joshua Lambert took over his father's Ohio-based business after 15 years.
The firm consents to having inadequately supervised sales of complex products.
Chesapeake Investment Planning is based on an island in the bay.
Joseph Pratt of Conshohocken, Pa., used private information from clinical trials.
New Jersey-based firm brings $200 million in assets.
