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.
The St. Petersburg-based firm has told workers they don’t have to return to the office until Oct. 11.
Ancora, which recently waged a public proxy battle against Blucora, the parent company of Avantax, becomes the seventh partner firm to join Focus this year.
Orion is pushing deep into behavioral finance with a new technology-backed take on planning.
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.
The couple, who also took out a PPP loan, told investors they were managing foreign currency funds that would earn them at least 10% annually.
Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.
