State securities regulator group says investors also should beware real estate, Ponzi schemes.
Nine-adviser group from Omaha area joins franchise unit.
Agency says Westport Capital's clients lost $1 million through inflated stock buys.
James Sheehan to work at the Park Avenue office of the Raymond James division.
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.
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.
KMS snags National Planning Corp. team, while Kestra adds retirement specialist team from Cadaret Grant
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
