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Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
The sentencings mark the latest developments in the long-running legal case involving 1 Global, which is accused of defrauding 3,600 clients out of $320 million.
The SEC is seeking information from market participants, consumer advocates and others on “digital engagement practices” that are closely associated with the mobile phone apps offered by Robinhood and other companies.
The settlement order against J.W. Cole Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.
When it comes to big presentations, less is more—more personal, more authentic, more trustworthy, more real and more solution-based on what’s truly important to the prospect.
A Merrill Lynch research project finds different priorities and values among these demographic groups when it comes to wealth planning; for advisors, better understanding can lead to better client conversations.
