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.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
Fresh off a capital infusion from the Pritzker Organization, Steward CEO Jim Gold, Goldman Sachs' first RIA custodial client, is looking to invest in other RIAs.
The sentencings mark the latest developments in the long-running legal case involving 1 Global, which is accused of defrauding 3,600 clients out of $320 million.
Cooper, 56, the firm’s chief investment officer, joined Lincoln in 2012.
While most advisors successfully adapted to remote work and saw their AUM rise during the pandemic, nearly 3,000 took PPP loans.
You don't have to be Superman to protect your loved ones with disabilities.
The settlement order against J.W. Cole Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.
