Four Points Capital Partners clients of Zachary Berkey and Daniel Fischer said to have lost $573,867.
Regulator says Bradley Mascho abetted scheme involving $20 million in convertible and promissory notes.
Peter Hiltz will open the first Cincinnati office for the Oregon-based RIA.
Firm censured, agrees to provide remediation to clients affected.
The addition will bring TRUE's assets under management to more than $900 million.
Michael Huffman moves to employee channel in Mesa, Ariz.
Midwest Financial Group in Wisconsin manages $186 million.
Finra was investigating whether he engaged in prohibited sales activities.
Three veterans collectively have 70 years of industry experience.
After losing many National Planning Corp. affiliates, company touts the 'keep.'
