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.
Sean Aaron Brady failed to cooperate with Finra's investigation into the circumstances of his termination.
Jeffrey Boudjouk, two other advisers and assistant set up hybrid in Rhode Island.
Found firm executed unauthorized and unsuitable trades in client's accounts.
Twenty-year-old Financial Principles is based in Fairfield, N.J.
Formerly of Northwestern Mutual, Donnell Noah Bowen failed to appear at his hearing.
