Securities regulator says firm failed to supervise agents over suitability.
Gerald Cocuzzo involved in $131 million market manipulation scheme.
Brokers in Chicago and Nashville collectively managed $325 million.
George Thoreson tried to keep penny stock's price high to enable Nasdaq listing.
Move will create global sustainable investing firm managing $13.9 billion
Atlanta-based Scott McQuilken and Richard Reasoner affiliate with Arkadios Capital.
Using institutional shares would have saved investors $1.1 million, agency says.
Father-and-son William and Parker Wiseman join employee unit in Boston.
Finra arbitration panel awards estate of former RBC client $212,000 for alleged elder abuse and unsuitable trades.
