As part of a plea agreement, Nicholas Mitsakos agreed not to appeal any sentence of 37 months or shorter, and to forfeit about $861,000.
Regulators need to put forward a unified definition of fiduciary duty so that investors and advisors can have a fully informed debate on the matter.
The firm joins Triad from Securian Financial Services after 25 years with the broker/dealer.
Richard Fuld rebrands firm to Matrix Private Capital Group, Morgan Stanley sued over alleged anti-semitism and Texas passes a law protecting seniors from financial fraud.
From the big leagues to big finance.
William Dudley's term ends in January 2019, when he reaches the 10-year limit in the role.
Elite Financial Network, a super OSJ with $744 million in client assets, is coming over from National Planning Corporation.
