Martin Ray Evans had approval from customers to transfer their accounts to his new firm, but he didn't have all the information he needed. So he impersonated them on the phone to get it, according to the regulatory agency, and was terminated.

The $507 billion in financial services transactions announced this year is topped since the financial crisis only by 2019.

“Well, if I worked seven days a week, 15 to 16 hours a day and I don’t take any holidays, at least for a period of time I’m going to be more productive.”

Connectus, the offspring of Focus Financial, is aggressively acquiring its own wealth management firms domestically and abroad.

The association's new model rule would require investment advisor representatives to complete continuing education, but some legal experts worry about a 'patchwork' of mandates.

The pre-seed funding round included Brian McLaughlin, Ron Carson, Jason Wenk, and Steve Lockshin.

John Mallory is currently head of Americas Private Wealth Management, while Meena Flynn leads the Global Markets Solutions Group.

The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.

Advisor Mac Gardner created a fintech competition to help with his financial literacy app, inspiring a new technology track in the financial planning curriculum at the University of South Florida.