SEC bars Emil Botvinnik, a former registered rep with Windsor Street Capital, as part of final judgment that includes $1.14 million disgorgement.
About one in five people in the U.S. have a disability, and that will likely increase as the baby boomer population ages, according to the American College of Financial Planning. About two-thirds of people who are caregivers reported being worried about having enough retirement income.
Bipartisan legislation proposed by Sens. Cardin and Portman aims to help boost savings.
The four-adviser group is moving to the firm’s employee unit in Augusta, Georgia and will operate as the Cypress Wealth Group.
The agency says the New York institutional firm mismarked hedge fund orders.
The program broadens the relationship the fund company began last year with HarbourVest to serve institutional clients.
John Farrell and Joel East are joining the UBS branch in Fort Worth, Texas.
About 800 T. Rowe employees will be offered jobs with FIS; the transition is effective Aug. 1.
Viridian Advisors, an $846 million RIA, will bring CPAs and tax expertise to Edelman.
Lawyers group says regulators and the customers who had complaints should be able to present evidence in expungement requests.
