The Massachusetts secretary of the commonwealth said the alleged actions by Vanguard and others left smaller investors vulnerable to increased risk and larger tax liabilities.
New strategic partnership with The Retirement Advisor University will build an omnichannel platform designed to bring wealth management and financial planning to an increased number of retirement plan participants.
Informa and WealthManagement.com’s partnership with The Retirement Advisor University aims to educate and empower retirement plan advisors, plan participants.
Merchant provided capital to become a minority investor in Southwestern Investment Group, as well as the debt facility for the principals and their advisors to buy their shares from the hybrid RIA's parent company.
According to the commission’s complaint, Florida-based former advisor and broker German Nino made numerous unauthorized transfers, allegedly using the money to purchase gifts and to pay back a prior victim’s misappropriated funds.