Signet Strategic Wealth Management is based in Westlake Village, Calif.
Court also orders Hector May to pay $8.4 million in restitution.
Matthew Pruitt and Matthew Fisher join employee unit in Doylestown, Pa.
PCS Retirement acquires Aspire Financial Services
Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
North American Securities Administrators Association sees room for improvement in supervision.
TD Ameritrade study finds lead advisers and associates also getting younger.
Giving up 48% over 2018 period; last year's giving totaled $5.2 billion.
Finra says three individuals with criminal convictions worked for the firm due to inadequate background checks.
Ernie Garcia was being investigated for altering receipts.
