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Harris Baltch, Dynasty Head of M&A and Capital Strategies, is joined by Marty Bicknell, CEO of Mariner Wealth Advisors, to discuss how to negotiate and close RIA M&A successfully. Join the two as they delve into how to close deals in a virtual...
Edward E. Matthes pleaded guilty to wire fraud charges last year; his 27 victims included many elderly investors as well as his parents, according to the Justice Department.
Regulators also detailed findings from examinations into how firms handled the initial implementation of Reg BI and Form CRS requirements during panels at FINRA's annual conference.
The biggest obstacle to working with women in the throes of divorce is financial illiteracy—or rather, the fear of being perceived as financially illiterate.
During a panel at FINRA's annual conference, Executive Vice President and Chief Legal Officer Bob Colby said the agency is speaking with SEC staff about the extension.
