Nuveen's former chief equity strategist, Bob Doll, has joined Crossmark Global Investments, a boutique faith-based investment management firm, as chief investment officer.
Focus Financial acquired ARS Wealth Advisors to expand its Florida presence.
The charges against the executives of LJM Funds Management and LJM Partners claim they failed to inform investors about potential losses. The funds later suffered a $1 billion loss.
The annual program honoring individuals and business initiatives that help financial advisors better serve their clients will be held in person in New York City on Sept. 9.
The increasingly acrimonious split has led the CEO Mark Suzman to tell employees he’s in talks to strengthen “the long-term sustainability and stability of the foundation,” including possibly bringing in outside directors.
The rule filing would have made several changes to the regulatory agency's expungement process, including establishing "specialized arbitration panels" for such requests.
The mergers, acquisitions and advisor moves you may have missed the week of May 24, 2021.
