Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
Father-daughter team of John and Deanna DeRosa in Newport Beach join employee channel.
Glen Smith, Robert Casey and two in staff set up shop in Mound, Texas.
Finra says Bear Stearns' flawed system led to securities segregation issues
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
Investor alert advises wariness over too-good-to-be-true stock stories.
Regulator said firm's review system was 'flawed in significant respects.'
RIA firm based in Evansville, Ind., has 13 employees.
Regulator says Ronald Fossum Jr. misappropriated assets and lied to investors.
