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.
Broker-dealer must pay fine and reimburse the state over 'Robin Hood' case involving disgraced broker serving more than five years in jail for defrauding clients.
Long-running case centers on reasons firm gave for broker's discharge.
Deal will add $860 million to RMB's $8.4 billion in AUM.
