Jeffrey Max Cohen failed to furnish documents related to his business dealings, according to Finra.
The agency said the robo's errors caused clients to lose $4 million in potential tax savings.
The Chicago consolidator said Vigilant works with high-net-worth families and business owners.
Banks are trying to ramp up wealth management, but retaining advisors comes with challenges.
The Leeward Group includes advisors John Piotrowski, Richard Holsan and Scott Gribbons.
S&P and Moody's said the firm's extra debt and the acquisition environment prompted the moves.
A panel said Oppenheimer ignored an ex-advisor's Ponzi scheme. The firm wants to vacate the award.
Secretary of the Commonwealth William F. Galvin said the firm didn't properly oversee an agent's sales practices.
Nate Carlon is based in Scottsdale, Ariz., and is joining LPL's broker-dealer, RIA and custodian platforms.
Lido's chief executive said the team, led by Pete Morimoto, had around $1 billion in AUM.
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