Barbara Waters oversaw administrators in firm's wealth management group.
Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.
Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.
More than 698 deficiencies found in 1,200 exams, says NASAA.
The firm will pay $13 million in fines and restitution for failure to supervise.
Michael Moses falsely claimed 24% returns, and lost most of clients' money.
Ivy League school is first elite university to win complete dismissal of such a lawsuit.
Gregory S. Brent declined to provide testimony for Finra inquiry into his termination.
Marc Ravenscroft kept reimbursement after receiving charge reversal.
Lynchburg, Va.-based advisory firm has 13 employees.
