The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
Dynasty Financial Partners CEO and founder Shirl Penney on why the pandemic has been a boon to wirehouse breakaways, how his firm is working with Envestnet and Mariner Wealth Advisors, and what it means for the network to reach the $50B AUM mark.
The rush of comment letters comes on the final day of the comment period for the Labor Department's new proposal to replace the Obama administration's vacated fiduciary rule.
Oleg Tishkevich, CEO of INVENT.us., explains how Cloud Native can take advisors into the next level of coordination, integration, simplification and workflow automation.
Focus attributes the growth to three RIA acquisitions as well as 15 subacquisitions it made on behalf of its partner firms over the past year.
The full Senate vote was the last step in the SEC nominations for Caroline Crenshaw and current Commissioner Hester Peirce.
San Diego-based advisors Scott Dudley and David McQuade align with Financial Advocates, one of LPL Financial’s largest offices of supervisory jurisdiction.
The Morningstar veteran is joined by Tom Valverde, appointed to a newly created role at Apex.
