The violations included failure to keep track of employees' electronic communications, Finra said.
The financial literacy program is backed by Pathward, a national bank and financial services company.
The institute will help develop talent and serve as an educational tool for advisors and clients.
The move sets the firm up for growth in the U.S.
The fund has no fees and no contribution minimums.
The partnership allows advisors to use tax management solutions in model portfolios.
William Carlton cost his clients $6 million over seven years, the SEC said.
The $15 billion firm acquired Nashville-based Eudaimonia Partners and Eudaimonia Advisors.
The firm was created from a merger last year of White Glove and TouchFuse.
Only about half of surveyed donors discussed their plans with advisors, Fidelity's charitable giving arm said.
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