Nessim, president of Kingswood U.S. and CEO of Kingswood's SPAC, takes over the CEO duties of Derek Bruton, who has stepped down.

The SEC claimed George Blankenbaker raised more than $11 million from investors, while the Justice Department also charged him with wire fraud and money laundering.

The well-known financial literacy guru's controversial comments at a recent virtual conference highlight how the majority-centric baby boomer mindset for financial planning no longer works.

The mergers, acquisitions and advisor moves announced from March 29 to April 2, 2021.

Global wealth management technology provider Refinitiv has built an AI-powered content management system, while ESG personalization provider Ethic gets another large capital boost.

The company’s registration statement for the listing has been declared effective by the SEC.