Sal Cucchiara replaces Christopher Randazzo, who moves to Rockefeller Capital.
New York RIA, which began as CPA firm, maintains tax orientation as a wealth manager.
Michael Ralby declined to take part in the investigation, leading to the regulator's action.
Broker Christian S. Gherardi of Miami had sought $16.5 million in damages.
Two months after the insurer provided the names of those owed pension payments, the state has located the majority of them.
Eversheds Sutherland says regulator imposed fourth highest total sanctions over past decade
Regulator investigating withdrawals from bank account of ex-rep Norris Roberts Jr.
Authorities say Jeffrey Palish's misdeeds against elderly clients netted him anywhere from $180,000 to $600,000.
Firm considering move to team management approach, says Wall Street Journal.
Puerto Rican residents charged the firm with fraud and breach of fiduciary duty.
