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One securities attorney said the $2 million in fines was minimal considering the size of the firms, an indication that the SEC wants the industry to take the issue seriously.
Five years ago, Phil Fiore and his team left UBS to launch Procyon Partners and since have expanded services and are achieving extraordinary M&A success.
Fincadia Group was attracted to Arete Wealth's bespoke alternatives offerings for HNW clients, including a partnership with art investment platform Masterworks.