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When Martine Lellis woke up from a coma doctors didn’t think she’d come out of, she was given a new lease on life, and it has fueled her passion for making bold, compassionate choices in the financial services industry.
Some 64% of advisory firms have no plans to develop or use client-facing artificial intelligence, yet 46% said it was a chief compliance concern, according to the ACA Group's latest survey.
Effective immediately, Prime Capital Investment Advisors will become Prime Capital Financial, while Pensionmark rebrands to World Investment Advisors, a nod to its parent company.
FINRA accused D. Allen Blankenship of unsuitable mutual fund trading. Still, the broker is looking to SEC v. Jarkesy and claiming the disciplinary proceedings violate his right to a jury trial.
