See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Schwab blamed an “issue created by a software enhancement” for erroneously transferring $1.2 million in February to the Fidelity account of Kelyn Spadoni, rather than the $82.56 she had requested.
The commission's Division of Examinations said it had found examples of 'potentially misleading statements' concerning ESG processes, according to a recent risk alert.
Advisor Alfredo Garcia decided to move to Snowden Lane after Wells Fargo announced in January it would stop catering to international clients, which make up a majority of his book.