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.
Strong Investment Management had been charged with fraud in a "cherry-picking" scheme.
Faulty comparisons led consumers to swap annuities to their disadvantage, the state charged.
Principals of Wellesley firm recommended buying stock of company in which they had an interest.
