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Despite a possible delay coming from the Biden administration, RIAs should consider updating their procedures to comply with some, but not all, of the new requirements.
The DOJ and SEC filed parallel actions against Isaiah Goodman, arguing he used investors' funds for personal expenses and made "Ponzi-like payments" to new investors.
According to the SEC complaint, the defendants would raise funds from clients without investing them, and would often use them to pay for personal expenses.
Advisors who accepted Merrill Lynch’s succession agreement are now realizing how stuck they really are—serving as a cautionary tale for others nearing retirement.
