Last summer, the two, David Gentile and Jeff Schneider, were found guilty of fraud in federal court in Brooklyn and received their sentencing today.
Elsewhere, Raymond James adds two advisors from Edward Jones and LPL, forming an LGBTQ+ focused practice in New Hampshire.
Leading estate-planning tech provider Vanilla has also unveiled key AI upgrades to help its advisor users.
A half-century after the company quietly launched in Pennsylvania, Jack Bogle's spirit and legacy to investors has stood the test of time.
Led by its CEO, LPL is engaging in what sounds like a charm offensive with some Commonwealth advisors.
Gaps revealed in knowledge about employer-sponsored caregiving programs.
Recruited assets, organic growth both powered ahead.
The firm has been dogged by compliance issues for years, resulting in multiple fines by various regulatory bodies.
Wall Street giant avoids penalties as regulator ends yearlong review of interest treatment on idle client cash.
Canadian-owned RIA firm to unify investment operations using Vestmark's trading and portfolio management system amid ongoing national expansion.
Regulator wants to know which rules are outdated
Advisors offer important recommendations for single mothers seeking to secure their financial futures.
Buyouts, layoffs, early retirements, and hiring freezes have added up to the steepest cuts in decades at the SEC and other federal agencies.
Elsewhere, Wells Fargo also recently announced several new hires from Cetera, Merrill Lynch, and JPMorgan.
The leadership changes are happening just as the firm forges a strategic partnership with AI notetaking leader Jump.
The $21 billion RIA is adding financial safety tools to help advisors support aging clients and strengthen cross-generational ties.
In contentious cases of arbitration, having a single credible voice speak to both liability and damages can be a significant advantage.
Fund flows - meaning sales of products - in March were “surprisingly resilient.”
The investment research firm's new medalist methodology aims to help bring transparency to increasingly complex product offerings.
The broker-dealer giant is adding best-in-class software to its tech stack amid increased demand for sophisticated planning solutions.
