Wealth Management industry news covering the financial markets, trends and wealth professionals.
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Former MML rep Keith Gill was posting online as 'Roaring Kitty' about GameStop and other stocks, right under the firm’s nose, according to Massachusetts securities regulators.
Felix Gorovodsky will serve nearly three years in prison for defrauding an elderly woman and using her funds to pay personal expenses, including more than $100,000 in student loans.
Canadian-based CI Financial, which has acquired a total 21 RIAs in the U.S., expects to open the new office in 2023, which will initially house core C-suite executives and personnel.
When advisor Robert Schein’s father died, his mother was thrust into taking care of the finances, which she knew little about. The experience inspired him to launch an organization dedicated to helping women take control of their financial lives.
The SEC chair’s testimony before the Banking, Housing, and Urban Affairs committee also touched on issues like crypto assets and climate risk disclosures for issuers.
Shoreline Wealth Management is the 13th team to affiliate with LPL through its Strategic Wealth Services model, which went live in April 2020 to lure breakaways.
