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Convenience is quickly evolving into an essential element of any successful business. Advisors need to level up their digital experiences with clients to stay relevant.
Daryl Bank was convicted for his role in a scheme that defrauded more than $25 million from over 300 victims, many of whom were elderly, according to the DOJ.
The settlements are the latest in a string of SEC enforcement actions for similar conduct, which one lawyer says is now 'low-hanging fruit' for the regulator.
The two petitions ask the commission to revisit a 2007 proposed rule on whether investment advice can be 'solely incidental' for brokers and to consider modernizing an aspect of the Investment Advisers Act of 1940.