RIA firm based in Evansville, Ind., has 13 employees.
Regulator said firm's review system was 'flawed in significant respects.'
Investor alert advises wariness over too-good-to-be-true stock stories.
Regulator says Ronald Fossum Jr. misappropriated assets and lied to investors.
Warren, Pa.-based bank has 24 advisers in 164 offices in New York, Pennsylvania, Ohio.
Up to 30,000 people may not have received payments from insurer.
Regulator said non-standard trades led to firm miscalculating net capital.
Four-adviser group joins Fieldpoint Private in Greenwich, Conn.
Mark McGrath moves to firm's employee channel in Timonium, Md.
