Regulator was investigating complaints against Ricardo Rodriguez-Stern.
Jeffrey Dragon also fined $50,000 over unsuitable recommendations.
Neil Bailey and team switch to employee channel in Cincinnati.
Andrew Hutcheson joins Raymond James unit in Los Angeles.
Finra says Francis Joseph Gendlek caused investors to lose $620,000.
Analysts' formula says New England will cover the point spread over Philly.
Former CEO of RBC Wealth Management will focus on retail.
Four-adviser group, Z3 Capital Partners, is based in Richmond, Va.
Dennis Hall joins a New Jersey indie practice affiliated with FiNet.
