Shawn Baldwin found guilty on seven counts of wire fraud.
Intellectual Capital Group is based in Spring Lake, N.J.
Information technology, investment management and legal/compliance are the top three outsourced functions
Minneapolis-based Johnston Group will increase presence in Northern Plains.
Eleven-member group will join RJ's employee unit in Birmingham, Mich.
James Polese has already paid $355,000 in restitution as a result of his criminal case.
M. Bradley Winges becomes head of Dallas-based securities firm.
The firm will maintain offices in New York, Chicago and San Francisco.
RIA firm, founded in 1996, is based in Ann Arbor, Mich.
Regulator also fines broker Thomas T. Riquier $50,000 and bars him.
