Raymond Erker was found guilty in March in connection with a $9.3 million Ponzi scheme.
August 3, 2022
Brokers who were no longer on the Financial Industry Regulatory Authority’s BrokerCheck but stayed on other regulator regimes were more likely to have a history of misconduct, according to a recent report.
However, the firm saw steep drops in both its advisory and brokerage assets, with the total falling by 8% compared to March and by 4% year-over-year.
The company is planning to add the staff over the next three years to support a new unit aimed at employees at private equity offices, consultancies and accounting firms.
From perseverance to teamwork, advisors say skills from the court, rink or field transfer well to the financial advisory industry.
Learning about what makes management teams successful and the common mistakes managers make were “incredibly valuable “ for the chief executive officer.
Bitcoin is down 60% since Matt Damon endorsed cryptocurrency exchange Crypto.com, while Mike Tyson’s non-fungible tokens have dropped 99%.
Good advisors are upfront about the difference between hypothetical and actual performance, but many are not, Forbes contributor Ivan Illan writes.
Connecticut-based Johnson Brunetti has around $1.5 billion in client assets through its registered investment advisor arm as well as another $1.5 billion in annuity and insurance assets.