Bruno, a long-tenured executive for InvestmentNews and more recently Echelon Partners, brings deep ties to the advisory community and will focus on bridging media and events at Informa.
Daryl Bank faces a maximum sentence of 300 years in prison after a jury in Virginia federal court found him guilty of defrauding investors, many of whom were retirees.
In a letter to the firm that administers the protocol, J.P. Morgan specified that its participation does not extend to its branch-based advisors, some of whom they are charging in court with soliciting former clients.
During a recent Inside Wealth panel, advisor Rick Ferri argued that AUM-based advisors aren't incentivized to put clients first, while attorney Max Schatzow stressed advisor compensation for 'value' isn't easily...
Peter Quartararo convinced investors that he could purchase shares of companies like Peloton or AirBnb before their initial public offerings, according to prosecutors and the SEC.
While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.
Alex Oh, who joins from law firm Paul, Weiss, Rifkind, Wharton & Garrison, replaces Stephanie Avakian, who stepped down from the role in December after a four-year tenure under the Trump administration.
The bank filed a complaint in federal court alleging that the former employees resigned earlier this month and have attracted 48 clients with about $59 million in assets.
