Hybrid Hogan Eller Wealth Management in San Antonio, Texas, affiliates with New York firm.
Bank claims Gabriel Campbell took confidential client information
Hearing panel also permanently bars broker Bruce Zipper for ignoring suspension.
Terry McCoy barred from working in a supervisory capacity and fined $75,000 for missing Ami Forte's churning of elderly client's account.
Justin Mair says he 'mistakenly' paid his electric bill with client money.
Flood Financial Services switches broker-dealer and RIA platforms.
Addition of $495 million Wisconsin hybrid brings AUM to $8.4 billion.
Settlement is part of a $26 million agreement between the independent broker dealer and the North American Securities Administrators Association.
SEC says firm employees misled customers into overpaying for RMBS debt.
Just 30% of baby boomers and older investors have made similar investments, Fidelity Charitable finds.
