John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.
Thinking he was covering all his bases, Tom Carvel of Carvel Ice Cream appointed no fewer than seven executors to manage his estate upon his death. Unfortunately, having so many hands in the pot turned out to be a recipe for disaster.
The incoming Biden administration is discussing Gary Gensler and Preet Bharara as possible replacements.
The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.
The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.
John Stumpf, who retired in 2016 after the bank’s deceptions came to light, agreed to pay a $2.5 million fine to settle the allegations.
Bharara, who became U.S. attorney for the Southern District of New York in 2009, might view the SEC as a consolation prize, as he’s been mentioned as a possible contender to lead the Justice Department.
VVP CEO Craig Findley has reunited with members of his former UBS team.
