Massachusetts and New Hampshire cited the firm's sales practices and supervisory failures
Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction
Self-reporting of regulatory issues by advisers has been a clear weakness.
Suneet Singal allegedly lied about owning a dozen hotels to close a deal.
Program gives advisers who stay until retirement an additional bonus of 25% of their trailing 12
At the MarketCounsel Summit, a moving discussion about the firm's founder, and what his death can teach RIAs about succession planning.
CEO believes firm could double the half-dozen deals it has closed or initiated this year
CEO believes the firm could double the half-dozen deals it has closed or initiated this year.
United Capital's CEO says the roaring stock market and a desire to hit a 2020 deadline for sale informed the decision to sell.
This year will close with about 200 large RIA deals, a number that will probably be reached in 2020 as well.
