Massachusetts securities regulator says Thomas Riquier defrauded investors while son-in-law supervised.
Mimi Bock recruited from LPL to head Cetera Advisors and First Allied.
Tibor Klein also will pay $20,000 fine for trading on 2010 Pfizer acquisition.
Accused of charging clients excessive fees and commissions, Thomas J. Buck has already been barred by Finra and has pleaded guilty to a criminal charge.
The firms, with a total of 65 brokers, were formerly affiliated with National Planning Holding.
Finra says firm did not have adequate risk-disclosure procedures in place
State-registered RIAs would have to provide fee table for greater transparency
Report data contradicts sponsors' fears of HSAs cannibalizing 401(k) savings
Finra was investigating Brett Ashy for unauthorized transaction.
Just 22% say they plan to expand use of outside private-equity funds
