The regulator said Merrill Lynch caused customers to pay avoidable fees on brokerage account recommendations.
Scottsdale advisor Jacob C. Glick was banned for 10 years after causing clients to lose $2 million, the agency said.
A Finra arbitration panel agreed with the foundation's claim that a deceased rep put its money in unsuitable products.
The Lelekis, Ellis, Kilczewski Private Wealth Management Group has joined the firm's employee channel.
Eddy Blizzard stole $1.4 million from the late client, causing him to lose his house.
LPL's recruitment of Dallas-based Strategic Wealth comes ahead of Lincoln's purchase by Osaic.
Dusty Sternadel tricked her mostly elderly clients into cutting checks that she deposited into her personal accounts.
The IRS said he failed to account for $2.5 million in money shuffled in overseas accounts.
The teams comprise 15 professionals who serve 160 client households.
Waverly, an Alabama firm serving wealthy individuals, made two other big purchases earlier this year.
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