Andrew Komarow pleaded guilty Thursday in federal court in Hartford to defrauding three financial services companies of close to $3.3 million.
According to a federal charges Bradley Heppner, 60, received more than $150 million in payments through funneling money from GWG Holdings to a shell company.
The senior recruiter position at LPL Financial can lead to future success and industry leadership.
Trevor Uhls pleaded guilty to one count of wire fraud and one count of money laundering.
Osaic and LPL Financial routinely square off in recruiting advisors from other firms as well as from each other.
The dispute apparently dates back to deals done ago during the time two advisors worked at Deutsche Bank Securities, or Alex. Brown.
Jim Walesa worked in the securities industry for 39 years before leaving in 2021.
Shook Research has a new name and brand, Veritant, and will continue its coveted rankings of financial advisors.
“The next wave of alternative investments being offering by wirehouses is centered around private equity and infrastructure,” said a senior executive.
Investor demand to redeem BDC shares may be “cresting” but it will still take time resolve the backlog, according to one executive.
