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Rory O’Hara, founder of Ausperity Private Wealth, discusses his journey from cold-calling trainee at Merrill to building a business managing $500 million in client assets, to making the leap to independence as a young team.
The SEC charged Tron founder Justin Sun with selling unregistered crypto assets, and settled charges with Lindsay Lohan, Jake Paul, Soulja Boy and others for touting them.
Bank-affiliated brokers and advisors can expect more scrutiny to ensure bank capital and managed assets are separated, according to bank watchers. But in the eyes of clients, that may make little difference.