Vista Financial Advisors registered in 2021 and soon claimed it managed more than $11.5 trillion—with a "T"—with no evidence of any legitimate assets at all, according to the commission.
Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.
With NIL deals becoming more and more prevalent, student-athletes need trusted guidance on what the opportunities are and ultimately what to do based on their unique situations.
The SEC fined Goldman Sachs $6 million for sending inaccurate or incomplete trading data and Citadel $7 million for breaking short sales labeling rules and incorrectly marking millions of trade orders.
The Barclays breakaway discusses his 2015 landmark leap with five partners, three offices, and $3 billion in AUM, plus shares why he feels UHNW clients are best served in independence, what they do to drive extraordinary growth, and much more.
