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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.
Despite raising capital from investors for six years, Fraud Guarantee never developed any insurance products or sold policies to investors and never generated any revenue, according to the SEC.
The rule is based off a model designed by the National Association for Insurance Commissioners that was intended to align with the SEC's Regulation Best Interest.
A lot can be learned listening to clients’ experiences working with financial advisors—good and bad. We talked to Paul Oakley, who runs Tiny Mighty Communications, a Nashville, Tenn., strategic communications consultancy.
The Massachusetts Securities Division alleges that Bruce Cameron invested more than $30 million of client assets into securities related to energy and over-concentrated the accounts of at least 10 investors.
In a parallel action to the DOJ’s, the Securities and Exchange Commission also charged GPB and a broker/dealer that marketed its securities with running an allegedly Ponzi-like scheme that raised over $1.7 billion.
