The SEC had accused Christopher McClure, the owner of Westport Capital Markets, of enriching himself by investing client funds in risky securities with additional, undisclosed mark-ups and fees.
Peter Mallouk, head of Creative Planning, said the company has made a large donation to local charity Harvesters—The Community Food Network.
Parties with meetings scheduled between now and May 1 will be able to reschedule or consider conducting the meeting remotely, according to FINRA.