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FINRA settled the charges with the firm and Donnie Ingram, claiming that Centaurus failed to properly supervise the recommendations Ingram was making to clients.
Classic Asset Management will pay more than $933,000 to settle charges with the commission. The settlement comes several months after the SEC’s Exam Division cited leveraged ETFs as a main area of focus.
A lot can be learned listening to clients’ experiences with financial advisors—good and bad. We talked to Stan Kimer, president of Total Engagement Consulting by Kimer, a diversity and career consulting firm in Raleigh, N.C.
Amir Monsefi, the co-founder and CEO of AIRE Advisors, describes “conflicts of interest” with the ability to serve clients and grow the business at Merrill. The former resident director shares how building their own RIA allowed them the freedom to...
