A survey from the North American Securities Administrators Association also found that fraudulent schemes using promissory notes, social media and self-directed IRAs worried state securities regulators the most for 2022.
A high-tech/smart-touch approach positions advisors to educate investors, provide highly personalized advice and reduce frictions through regular, seamless client communications.
Tara M. Brunst pleaded guilty to conspiracy to commit mail and wire fraud, mail fraud and three counts of wire fraud. She was originally charged in September 2020 with co-defendants Raymond A. Erker and Kevin Krantz.
Academics at the University of Oregon found that private equity–backed RIAs had a 147% increase in the percentage of their advisors committing misconduct after the takeover.
Key insights shared by some of the top independent advisor interviews curated from the past 12 months.
Knowing what makes you tick is key to building a long-term career.
