The broker, Marianne O'Shee Smith, a 34-year veteran of the securities industry, used $45,100 she had received from three customers, all senior citizens.
Over the first three months of 2022, the RIA aggregator announced six acquisitions of wealth management firms with close to $5.7 billion in AUM.
Investors in the $1.6 billion of bonds issued by GWG face dire consequence if the alternative asset manager files for bankruptcy.
J.P. Morgan hired Boaz Lahovitsky from Vanguard in 2020 to oversee the call center and video conferencing program.
When will one of the 40 or so large strategic buyers of registered investment advisory firms emerge from the depths to swim with another?
Vania May Bell is former chief compliance officer of Executive Compensation Planners Inc., where her father was president.
According to the SEC, Ambassador Advisors generated at least $777,000 in fees by investing in 12b-1 share classes when other share classes were available for the same mutual fund.
The talk show host is pushing back against Wells Fargo in a fight for control over her accounts.
The Securities and Exchange Commission wins its case against Jonathan Dax Cooke for fraudulently selling variable annuities to hundreds of federal employees.
Dempsey Lord Smith and BD4RIA were negligent in 2018 when they failed to inform clients that GPB had missed a deadline for filing financial information, according to Finra.
