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Total fines would have fallen significantly over 2020 if not for the $57 million penalty against the trading app Robinhood, according to law firm Eversheds Sutherland.
GeoWealth President Colin Falls on the firm's growth trajectory and how technology can ease the tension for RIAs between model portfolios and customized investment management.
Robert DeChellis and Frank Porcelli have launched Bonsai to focus on an asset/liability approach and broader access to insurance, annuities and business valuation tools; execs plan to start with a handful of acquisitions of sub–$1 billion firms.
The Justice Department accused Raymond Erker of defrauding some 50 investors, including a former judge who wore a wire to help the police investigation, according to news reports.
Vince Finney and Joe Panfil of Bibler, Finney, Panfil Private Wealth Management Group left UBS for Wells Fargo Advisors with partner Ryan Bibler in 2018. In a departure for our show that typically focuses on independence, it’s a candid...
