See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude certain arbitrators.
Buoyed by Series C capital raise, Facet Wealth adds four new executive hires, hoping conflict-free advice for the masses resonates in a turbulent market.
Patrick Egan’s interim suspension went into effect on June 21. Egan is a representative with the California-based firm Western International Securities, which was also named in the SEC's complaint.
The wealth unit plans to double client assets under management for private market investments and expand programs that focus on sustainability and the next generation set to inherit wealth.
Alaris Acquisitions CEO Allen Darby discusses the current state of M&A activity and valuations and offers perspectives on how the remainder of 2022 will take shape.