Eric Bartoli was charged with engaging in a Ponzi scheme through the late 1990s, but federal authorities admit his prison time was double what was suggested, according to the Akron Beacon Journal.
Nancy Sumption has an extensive background in the public and private sectors, including stints in the U.S. intelligence community and the Department of Justice, according to the SEC.
The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be...
The news comes a month after CEO Larry Fink revealed in a letter to company executives that the asset manager was placing a greater emphasis on sustainability in its investment strategies.
Current head of Wells Fargo's wealth unit Jon Weiss will move to the corporate and investment banking division, as part of a larger reorganization at the bank. The search for a replacement is under way.
The Money Management Institute is rolling out a nationwide program to help educate advisors on ESG, or sustainable investing, bringing investors and asset managers together to help find common ground for navigating...
