The two states become the 17th and 18th to adopt rules regarding annuity sales and recommendations based on the National Association of Insurance Commissioners’ model rule, following Connecticut, Virginia, Iowa and others.
Richard Mullen, Founding Partner, CEO, Pallas Capital Advisors, discusses what led him to explore his options outside of UBS.
Under AmeriFlex's new program, an advisor sells 30-40% of their current revenue to the OSJ in exchange for a check. The program was created with Larry Roth, industry consultant and longtime IBD exec.
Private equity veteran Kent Weldon has made a private investment in Venturi Private Wealth, a fast-growing RIA founded by Merrill Lynch veteran Russ Norwood.
The charges against Lina Maria Garcia followed previous ones filed in June against UCB Financial Advisers and her partner, Ramiro Jose Sugranes, for a scheme that allegedly cost clients $5 million.
The Equity Collective includes units of Goldman Sachs Group Inc., Bank of New York Mellon Corp., Pacific Investment Management Co. and Prudential Financial Inc.
Fintech executive Eric Arnold had to shut down his company in late 2019, amid sexual harassment allegations within the leadership ranks. But he’s now got a chance at a comeback.
