PCS Retirement acquires Aspire Financial Services
Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
North American Securities Administrators Association sees room for improvement in supervision.
TD Ameritrade study finds lead advisers and associates also getting younger.
Giving up 48% over 2018 period; last year's giving totaled $5.2 billion.
Finra says three individuals with criminal convictions worked for the firm due to inadequate background checks.
Ernie Garcia was being investigated for altering receipts.
L.A.-based Lido Advisors intends to manage First Western Financial's fund business.
The role includes leading the company's private bank and Abbott Downing.
Austin Private Wealth had been affiliated with Ameriprise.
