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According to the commission, Alexandra H. Cock and her firm, Wealth Plus, raised more than $2.5 million in securities in two real estate investment management companies that defrauded investors of millions of dollars.
LPL's head of advisor M&A discusses what is driving the recent frenzy in mergers and acquisitions, what to look for in buyers or merger partners, and the best post-transaction practices to ensure a successful integration.
James Iannazzo was granted entry into an accelerated rehabilitation program which places him under supervision for one year, after which the charges against him will be dismissed.
Part 2 of this two-part series explores what drives value and how to build a business that will be 'attractive' to acquirers and garner the highest valuation.