Harris Baltch, Dynasty Head of M&A and Capital Strategies, is joined by Marty Bicknell, CEO of Mariner Wealth Advisors, to discuss how to negotiate and close RIA M&A successfully. Join the two as they delve into how to close deals in a virtual...
Edward E. Matthes pleaded guilty to wire fraud charges last year; his 27 victims included many elderly investors as well as his parents, according to the Justice Department.
A willingness to communicate and work with other professionals is a talent that can be monetized.
Cultivating a culture of self-development and accountability empowers team members to own their own career paths.
Regulators also detailed findings from examinations into how firms handled the initial implementation of Reg BI and Form CRS requirements during panels at FINRA's annual conference.
