VisionQuest Wealth Management advisor Stephen Peters faces more charges in connection with an alleged Ponzi scheme carried out against some of his clients.
To escape the damaged reputation of his employer, one of Wells Fargo's top brokers decided to start his own advisory firm. Thanks to a chance introduction to a like-minded soul, it turns out he didn’t have to.
The states can do what they will, but the association of state securities regulators is focused on making its position clear on Regulation Best Interest.