Dusty Sternadel pleaded guilty to wire fraud in January in connection with a scheme that stole from at least 10 clients, most of whom were elderly, according to the DOJ.
Nathanson, Focus' president and CEO of The Colony Group, takes over for interim CEO Dan Glaser.
Chief Revenue Officer Mike Goss will replace Wetzel at the end of next week.
Non-transparent, actively managed ETFs have garnered some inflows since their inception, but they trail far behind transparent vehicles.
Advisor Ryan Rayburn decided to look for a new broker/dealer when Osaic announced its acquisition of Lincoln.
The brokerage regulator argued the firm’s automated process for approving options traders on its self-directed platform missed instances where clients submitted applications with conflicting information.
The Related Cos. founder is following the money flowing south by bringing his influence to everything from real estate to schools and health care.
Vanilla co-founder Steve Lockshin details the nuances surrounding NIL deals and the foundational estate planning strategies every individual, regardless of fame, should consider.
And accelerating record keeper and advisor consolidation.
