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When an advisor signs a recruiting deal, the firm is making an investment in that individual, and the advisor is signifying the intent to make good on the firm’s investment. But situations change over time. Is there a way out?
NCA Financial Planners' Kevin Myeroff discusses his thought process around succession and why he ultimately chose to sell his firm to Sequoia Financial.
Charles Malico, a former broker with Network 1 Financial Securities, will also pay a $5,000 fine. The disciplinary action follows the SEC’s first violation notice issued earlier this year citing the new standard.
The rejection over the risk of fraud and manipulation in the spot Bitcoin market is “capricious” and “discriminatory,” Grayscale wrote in a court brief.
