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The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.
The marketing tech CEO has integrated acquisition Advisor Websites, resulting in layoffs, all while expanding a texting platform into the enterprise channel, planning the second Jolt! conference and rolling out the next iteration of his company's...
Among other changes, the association will add a wealth management specialization, with additional content on client management, investment planning and the duty of care.
John Woods pleaded to one count of wire fraud for a Ponzi scheme that stretched over 10 years, according to the DOJ; the fraud also resulted in Oppenheimer & Co. facing a $35 million fine from FINRA arbitrators.
