Four-adviser group joins Fieldpoint Private in Greenwich, Conn.
Agency orders Louis Mohlman Jr. to pay $100,000 in civil penalties.
Leslie Koonce denied he took part in private securities transactions.
Justin D. Meadlin will pay more than $300,000 for inflating firm's AUM, touting nonexistent fund.
Five-person team in Winter Park, Fla., shifts to firm's employee channel.
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
Most consumers under age 45 with over $250,000 in assets reportedly fall into this category.
Ferrigno Financial is based in Washingtonville, N.Y.
Regulator was investigating JoeAnn Walker's sales of variable annuities.
