RIA Lawyers, founded by Max Schatzow, Cary Kvitka and Ryan Walter, will work with advisory firms with assets under management between $100 million and $10 billion.
A survey from the North American Securities Administrators Association also found that fraudulent schemes using promissory notes, social media and self-directed IRAs worried state securities regulators the most for 2022.
Tara M. Brunst pleaded guilty to conspiracy to commit mail and wire fraud, mail fraud and three counts of wire fraud. She was originally charged in September 2020 with co-defendants Raymond A. Erker and Kevin Krantz.
Elliott, the CFP Board’s first African American chair, outlines her priorities in the role, including a focus on proposed changes to the organization's appeals process and greater emphasis on enforcement.
More than 60% of respondents to a newly-released DeVoe & Company survey expected acquisition activity to continue to climb in 2022, topping 2021's record-breaking year.
The firm has offices in Chicago and Downers Grove, Ill., serves more than 800 clients around the country, and is the latest example of large, $1 billion-plus RIAs coming into the market as acquisition targets.
The team joined Private Wealth Asset Management several weeks after two other advisors left Wells Fargo to head a new division at the RIA specializing in clients’ real estate and energy needs.
Sterling Wealth Group, which manages about $390 million in client assets, will join JFC Financial Network, an OSJ of LPL, following a year of due diligence.
According to the commission, John Marques raised nearly $7.9 million and generated $824,000 in commissions from allegedly recommending and selling unregistered securities from the Florida-based company.
