Many accounts are unfunded and not receiving contributions, group finds.
Regulator scams, some using fake signatures of Finra executives, have been growing.
Client invested $20,000 in a real estate investment controlled by the broker, who later used the money for his own personal use.
Addition of Deerfield, Ill., RIA expands Chicago footprint of St. Louis-based $12.6 billion RIA.
Former head of Cetera Advisors succeeds Ace Forsythe, who's retiring.
Massachusetts securities regulator says Thomas Riquier defrauded investors while son-in-law supervised.
Tibor Klein also will pay $20,000 fine for trading on 2010 Pfizer acquisition.
Mimi Bock recruited from LPL to head Cetera Advisors and First Allied.
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.
