Dakota Wealth Management kicks off with $600 million in assets
Irving Mindes, William Fedor and two assistants relocate in Tucson, Ariz.
Former broker in Philadelphia sentenced to prison and to pay $886,214 in restitution to clients.
The two wealth managers are located in the suburbs of Dallas.
SALI shows whether advisers have a judgment against them in an enforcement action
Craig Walker was permitted to resign after 79-year-old customer complained.
John Banks is joining the employee unit
Finra panel also lets Miguel Ballestas off the hook for $407,000 note
Unless Howard Present pays $12.4 million in penalties, interest and disgorgement, he can't be reinstated
Payment would settle class action filed by current and former reps over commissions, expenses.
