Orion Advisor Solutions’ chief behavioral officer explains why advisors should employ “human-first” thinking in their practices at annual Nitrogen conference.

Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other celebrities.

The SEC had not — until now — permitted such funds to trade.

Massachusetts Commonwealth Secretary William Galvin fined the company $750,000 for the alleged lapses.

The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1...

The accusations against five of the firm’s reps arrives several months after FINRA barred the firm from the industry for numerous alleged violations, including against the SEC's Regulation Best Interest rule.