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The SEC's settlement with Aegis Capital Corporation included a $2.3 million civil penalty; Commissioner Hester Peirce said the deal may lead to firms not giving clients the investment option at all even when it would be useful for them.
Firms that don’t embrace technological solutions to track, analyze and assess risk across asset classes and geographies will be hard-pressed to stay relevant.
Advisors with histories of serious misconduct who exit the brokerage industry often continue to provide advice under state insurance regulations and are likely to reoffend in the future, according to a recent Stanford Law study.
One securities attorney said the $2 million in fines was minimal considering the size of the firms, an indication that the SEC wants the industry to take the issue seriously.
Five years ago, Phil Fiore and his team left UBS to launch Procyon Partners and since have expanded services and are achieving extraordinary M&A success.
