New York Times reports reps may have incentive to push higher-fee managed accounts.
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.
Reductions range from 5 basis points to 48.
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.
Priority Financial Group specializes in credit unions in the Southwest.
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.
