A slate of new appointees, including investor advocate Barbara Roper, show chair Gary Gensler moving away from the traditional revolving door with industry to staff up the agency, and that could impact advisors, say SEC observers.
Theder will be joining FMG Suite, the advisor marketing platform that powers Advisor Group’s MyCMO offering, as CMO and chief experience officer, effective Sept. 7.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
Fresh off a capital infusion from the Pritzker Organization, Steward CEO Jim Gold, Goldman Sachs' first RIA custodial client, is looking to invest in other RIAs.
The sentencings mark the latest developments in the long-running legal case involving 1 Global, which is accused of defrauding 3,600 clients out of $320 million.
Cooper, 56, the firm’s chief investment officer, joined Lincoln in 2012.