The firm also saw a decline in cash balances from last year.
The new report comes just as Finra has implemented new rules designed to toughen the expungement process.
Dan Glaser of Clayton, Dubilier & Rice will take over. The firm took Focus private.
Julie Darrah was like a daughter to clients. Her firm now says she was stealing from them.
Advisor Andrew Jacobus is being sued by a number of Venezuelan nationals who say he stole their investments.
The firms, when combined, create a $6.7 AUM entity catering to the wealthy.
The agency says New York firm Vista Financial reported an $11.49 trillion AUM figure that is fiction.
The five-member Coutant Group is led by Keith and Kevin Coutant.
The regulator claims Leslie D. Jackson engaged in $1.98 million in note sales without telling his broker.
NFP continued to build out its wealth management presence by acquiring a firm founded by breakaway Morgan Stanley veterans.
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