A thoughtful, durable succession plan will increase the value of the enterprise for all concerned, from the founder to her internal successors, the entire support staff, and clients.
The SEC claims that Eugenio Garcia Jimenez Jr., an unregistered investment advisor, misappropriated $7.1 million of funds belonging to the Municipality of Mayagüez, Puerto Rico.
Thomas A. Sporkin will join the board in January as the managing director, enforcement, and will be tasked with modernizing the board's detection, investigation and prosecution processes.
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Dec 08, 2020
Employing AI lead generation can help advisors grow their business more effectively than ever before.
The acquisition is part of FMG’s plan to become an end-to-end digital-marketing platform for financial advisors.
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Dec 01, 2020
For firms facing numerous obstacles, FinTech is key to success.
The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.
The workplace reflects the conscience of the leaders and the culture they create.
Financial advisors are in a unique position to see changing behaviors in clients that might pop up amid hardships with career, health or finances.
