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David Armstrong and Mark Bruno talk about what’s fueling the growth of the most aggressive RIAs in the market and what that means for RIAs who are poised to join in the frenzy.
According to the commission, John Marques raised nearly $7.9 million and generated $824,000 in commissions from allegedly recommending and selling unregistered securities from the Florida-based company.
The firm will pay more than $16 million after the SEC argued 1st Global Advisors recommended certain mutual fund share classes for clients when more affordable options were available.
The commission’s Standards of Conduct Implementation Committee urged advisors and firms to be concise when writing their relationship summaries and to avoid unnecessary legal jargon.
