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The SEC’s commissioners are scheduled to decide Wednesday whether to finalize measures that would alter the way brokers, market makers and exchange businesses operate.
Cetera-backed Wilde Wealth Management Group has brought on Drew Kliber, who managed $400 million in assets at UBS, as head of its W Family Office division.
According to the commission, Donald Anthony Wright made false statements when selling promissory notes to clients to fund the purchase of a Texas-based media marketing company.
