John Rogicki, also his firm's chief compliance officer, is the second person at New York-based Train Babcock Advisors to face fraud-related charges.
Priority Financial Group specializes in credit unions in the Southwest.
The phase-out ranges for IRA and Roth IRA contributions were also raised.
Kansas-based nVision Wealth will come under supervision of Chicago-based IHT Wealth Management.
Reductions range from 5 basis points to 48.
William Keaton and Alfred Sams III lead a group joining the brokerage firm's employee unit.
Fifth annual awards contest recognizes firms for excellence in practice management, technology.
Feucht Financial Group, started as tax-prep service, administers more than $430 million in assets.
TD Ameritrade has expanded its commission-free exchange-traded funds platform to 296 from 100, effective Oct. 17.
Reductions range from five to 48 basis points and three funds will track new indexes.
