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Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other celebrities.
The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1...
Also, Vise introduces AI-powered workflow; SEI updates portal, tools; a new report finds that API security incidents are rising in financial services and more.
The outgoing CEO of Orion Advisor Solutions shares his journey from the founding of the company, the firm’s growth over the years and perspectives on the future of wealth management, technology and AI.
