Larry Boggs exercised discretion in five accounts without written authorization.
Bruce Meyers also fined $75,000 for supervision failures and barred from serving as a principal or supervisor.
Site recommends questions investors should ask before hiring a financial adviser.
Mark Love and firm to pay $100,000 for failing to disclose fund tie.
Three-broker team, Affinity Wealth Partners, is based in Springfield, Mo.
Site recommends questions that investors should ask before hiring an adviser.
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Cerulli says 'concern for fiduciary alignment' will color product selection.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
