John Maccoll, who was fired from firm and barred by Finra, also faces criminal charges
Melvin Wimmer Jr. of Greenwood, S.C., accused of defrauding 25 clients
Agency says Jinesh Brahmbhatt failed to disclose conflicts to his young, pro athlete clients.
Stifel also added an Ameriprise broker managing $82 million.
Linda Pardini and Douglas Wulbrecht join employee unit in Santa Rosa, Calif.
Next Financial and Kestra Financial lose out in B-D swap.
Regulator was investigating Alex Herrera's real estate deals with clients
Agency says Salvadore Palermo paid customers above-market prices for CDs
DFA rises to fourth most-popular from sixth place in 2016.
Harry Buchanan Smith and team joins firm in Charlotte, N.C.
