Letter of consent comes after firm paid $1.5 million in related arbitration case.
Sonya Camarco accused of diverting more than $850,000 from client accounts.
Barbara Waters oversaw administrators in firm's wealth management group.
Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.
Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.
Michael Moses falsely claimed 24% returns, and lost most of clients' money.
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.
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.
