Caitlin Douglas, the head of transition services at Dynasty, details what advisors need to know about the supported independence model, tips on preparing for a move, key milestones and more.
In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.
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John Woods already pleaded guilty to federal charges that he raised more than $110 million in a Ponzi scheme. Plaintiffs in a suit against Oppenheimer & Co. claim the firm failed to protect his clients.
About 6.4 million borrowers, including some who left school during the pause, still lack a repayment plan.
According to the commission, Clarice Saw liquidated the securities of her 87-year old client without his knowledge when he was hospitalized.
