A slate of new appointees, including investor advocate Barbara Roper, show chair Gary Gensler moving away from the traditional revolving door with industry to staff up the agency, and that could impact advisors, say SEC observers.
Theder will be joining FMG Suite, the advisor marketing platform that powers Advisor Group’s MyCMO offering, as CMO and chief experience officer, effective Sept. 7.
Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
The sentencings mark the latest developments in the long-running legal case involving 1 Global, which is accused of defrauding 3,600 clients out of $320 million.
The SEC is seeking information from market participants, consumer advocates and others on “digital engagement practices” that are closely associated with the mobile phone apps offered by Robinhood and other companies.
