SEC Chair Gary Gensler’s first pick, Alex Oh, resigned within days of taking the job after a federal judge questioned her conduct in a case she was working on in private practice.
Gitterman Wealth Management co-founder Jeffrey Gitterman on how his firm focuses on sustainable investing, making sense of ESG data and where he sees opportunities for advisors to grow.
Independent broker/dealers are expanding their affiliation models, with many following advisors into the fee-only RIA space—does it signal the end of the IBD as we know it?
The commission argued Crown Capital Securities recommended higher-fee funds to clients without disclosure and failed to self-report these conflicts to the SEC.
The firm is the latest charged with failing to oversee reps who recommended early rollovers of unit investment trusts (UITs) that left clients saddled with higher sales charges.
