News

Peter Quartararo convinced investors that he could purchase shares of companies like Peloton or AirBnb before their initial public offerings, according to prosecutors and the SEC.

Melissa Hodgman, who was previously serving as acting director of the enforcement unit, will return to that role.

The move is the largest so far for the four-year-old Atria Wealth Solutions, a network of advisory firms backed by Lee Equity Partners.

Advisor Chad Taylor joins Strategic Wealth Services, LPL's premium affiliation model launched a year ago, from UBS Financial Services.

Kandor, which serves international clients, comes under Summit's custom capital model, launched in January.

While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.

Creative Planning expands its Midwest presence with the acquisition of Indianapolis-based, $320 million AUM Castle Wealth Advisors.