Agency says Westport Capital's clients lost $1 million through inflated stock buys.
California-based hybrid was one of National Planning Corp.'s largest firms
SEC chairman urges investors to use common sense, market pros to mind securities laws.
James Sheehan to work at the Park Avenue office of the Raymond James division.
Paul Smith allegedly raised $2.35 million without telling his broker-dealers.
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
KMS snags National Planning Corp. team, while Kestra adds retirement specialist team from Cadaret Grant
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
Firms allegedly sold AlphaSector strategies with false track records.
