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Many Wall Street firms are hurriedly reworking their plans, either pushing back the date when they expect staffers to return or requiring workers to get vaccinated.
In her first year of building a wealth management firm, advisor Anne Marie Stonich was also caring for a newborn baby and struggling with her mother’s death. But the events have positively shaped her view on life and her work as an advisor.
As the U.S. confronts the Delta variant, many firms are updating their return to the office plans, in some cases postponing them, in others requiring vaccinations.
The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.
Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.