Stephen Condon Peters was convicted in 2019 on 20 counts and sentenced to 480 months in prison for his role in a long-running scheme.
September 13, 2021
Jacob Popek allegedly failed to disclose several outside brokerage accounts to Wells Fargo while he was registered as a broker with the firm.
Client retention in particular is going to be tricky because research shows many women tend to change advisors within one year of their partner passing.
MML Investors Services allegedly earned millions from its revenue sharing program involving certain mutual funds without disclosing its conflicts of interest.
The regulator should put in place a rule specifically targeting gamification and other digital engagement practices, Ignites reports.
Dan Philps, head of Rothko Investment Strategies, discusses with FA-IQ sister publication FundFire the challenges firms face when assessing environmental, social and governance investment criteria.
The latest planned addition is Cincinnati-based The Pinnacle Group.