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The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.
Witnessing the insurrection at the Capitol, financial advisor Rianka Dorsainvil couldn't just return to normal. "There's nothing normal or usual about any of this."
As chair of Maryland's Financial Consumer Protection Commission, Gary Gensler advocated for a client-first fiduciary standard for broker/dealers as well as 'anyone who holds themselves out as an advisor.'