John R. Edgecomb Sr. spent 37 years at Merrill, where his son joined him in 2007.
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Survey of state securities regulators says most cases are undetected until too late.
Andrew Hill in Alpharetta, Ga., affiliates with HighTower.
Regulator was looking into charges that broker forged customer signatures.
Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
Bank of America insider provided tips on major M&A transactions
Mercer manages about $11 billion in assets, while Blue Moon manages $90 million.
Agency says manager overcharged funds $1.5 million
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
