The aircraft manufacturer has seen its shares fall since two crashes involving its Max 737 planes.
Berkley FinSecure says its anti-embezzlement policy is a first.
Lanzetta Group's 11 advisers formerly were affiliated with Questar Capital.
Former Wells Fargo rep John Gregory Schmidt had been barred by Finra.
Richard Cody of Jacksonville, Fla., also must pay fine of $30,000.
Managed by Wellington, the fund will include 40 companies and bow midyear.
Boulder, Colo.-based firm raises Mercer's AUM to more than $15 billion.
Desert Financial Wealth Management had been with LPL for 18 years.
Robert Schrieber, three advisers and three staff will join firm in Elgin, Ill.
