Texas regulators say Lawrence DeShetler bilked five clients, two of whom were in their 80s.
Meanwhile, a different group managing $650 million moves from NPC to Commonwealth
Eight IRA owners to get damage payments from IMS Securities and brokers.
A $2 billion OSJ at SII and a $347 million firm at NPC depart for Woodbury Financial, a unit of the Advisor Group.
C. Gene Jester and group expand firm's presence to Chapel Hill, N.C.
Chicago-based Ziegler to keep institutional, investment banking businesses.
David Katz joins employee channel in Boca Raton, Fla.
Firm settles charges that it failed to provide less expensive share classes.
White Cap Wealth Management affiliates with Kestra.
Subject was Jerry Lee Travers' payments to a non-registered person.
