The RIA says a vote by the shareholders of the SPAC, Cartesian Growth Corp., to approve the deal has been scheduled for next month.
Frank Smith, an LPL veteran who's the firm's current president, will succeed Moore as chief executive in mid-January.
Atlanta-based Kalos Capital has been crushed by more than $9 million in legal fees and costs related to sales of GPB private placements.
'No one is going to want to settle with broker-dealers over GWG claims until the bankruptcy is resolved,' an attorney said about the lawsuit filed by Emerson Equity.
The promise of cold, hard cash tends to speed up time but how does that work in a bear market?
Over two decades, Vania May Bell and her father Hector May 'ruthlessly orchestrated' a multimillion-dollar Ponzi scheme, according to the Feds.
The alleged killer, Keith Todd Ashley, tried to make his client's death look like a suicide.
The change will offer the regulator's employees a hybrid approach that combines in-office and remote work.
Cory Youmans, a vice president and investment adviser at Fisher in Plano, Texas, caught Aaron Judge's historic 62nd home run of the season Tuesday night.
It's the second time in as many weeks that Finra has penalized a firm for such trading problems.
