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According to the commission’s complaint, Florida-based former advisor and broker German Nino made numerous unauthorized transfers, allegedly using the money to purchase gifts and to pay back a prior victim’s misappropriated funds.
The commission will include five members who do not currently sit on the CFP Board’s Board of Directors, and its chair previously headed a task force that scrutinized the Board’s enforcement program.
Rockefeller Capital Management has become one of the most sought-after options for advisors looking to deliver concierge-level service to ultra- and high-net-worth clients. National Field Director Michael Outlaw shares an insider’s perspective.
