Steven Pagartanis was sentenced to more than 14 years in prison for his role in the scheme, according to the Justice Department. FINRA had previously barred the Long Island–based advisor from the industry.
Starting a new firm? What to expect—and how to survive the experience.
Ballast Point Financial Planning's Shawn Tydlaska explains the structure behind his blended model of charging a $5,000 annual retainer plus 10 basis points for clients with net worths above $2 million.
Jose Anibal Linares defrauded investors out of about $2 million, according to the Justice Department.
Last November, James Booth was sentenced to 42 months in prison for conducting a Ponzi-like scheme on investors and was ordered to pay nearly $5 million.
The regulatory agency claimed Scott Wayne Reed failed to get approval from Wells Fargo when soliciting clients to invest in a software company he himself was invested in.
The global coronavirus pandemic disrupted the financial advisory industry. Here’s what that means in 2021.
