Wealth Management industry news covering the financial markets, trends and wealth professionals.
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Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.
Merchant Investment Management's stake will fund Mulholland Growth's acquisition plans of smaller RIAs, and help educate advisors on Redwood's "disruptive" asset management strategies.
McKenna has been serving as interim CEO since March 2022, when former CEO Ed O’Brien accepted a new position as head of technology at Fidelity Institutional.
Matthew Jarvis rose from near bankruptcy to running a profitable independent financial advisory practice. He shares his story plus key teachings on extreme accountability, delivering massive value to clients, and more.
While most advisor advocacy organizations support the intention of the rule, some want to see a "materiality" standard incorporated into the requirements.
