Lexington Wealth Management advises on $1 billion in assets and has 11 advisers.
Linde Murphy wins small-firm board seat that was also subject of contested election.
Veteran advisers join employee unit in Virginia Beach, Va.
Craig Rumbaugh and his firms secretly received 5% commission on $3 million invested by clients.
Raymond J. Pirrello Jr. part of group that shared illicit trading profits
Blue Line Wealth Management of Brentwood, N.Y., specializes in serving police officers.
Brenda Kochel received $24,000 from Park Avenue Securities for fake travel expenses.
Regent Wealth Management Group serves approximately 110 high-net-worth households
Regulator says New York B-D's compliance associate had no training to perform duties.
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
