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If you understand the people caught up in the 'Great Wealth Transfer'—if you align your outreach with their habits and goals—you can position yourself to grow with them in the years to come.
Michael Shillin misled clients into thinking he was buying pre-IPO stocks in high-profile companies and long-term care policies on their behalf, but it was all a ruse, according to the DOJ.
As firms scramble to stay off FINRA’s new 'leper list' of broker/dealers with histories of misconduct, some say smaller businesses and reps with only minor regulatory blemishes are being unduly tarnished.
The unnamed rep recommended more than $2.1 million trades in certain mutual funds shares more appropriate for long-term use, according to FINRA, and Kovack Securities allegedly failed to spot the red flags.
There is a “value” to the work an advisor does, regardless of whether they are an employee or independent, that needs to be a part of the conversation when considering one’s future.
A lesser-discussed aspect of the new SEC marketing rule reignites an old debate—how can an advisor tout their own investment track record after leaving a firm?
Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.
Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.
