Ancora, which recently waged a public proxy battle against Blucora, the parent company of Avantax, becomes the seventh partner firm to join Focus this year.
Orion is pushing deep into behavioral finance with a new technology-backed take on planning.
The couple, who also took out a PPP loan, told investors they were managing foreign currency funds that would earn them at least 10% annually.
Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
While most advisors successfully adapted to remote work and saw their AUM rise during the pandemic, nearly 3,000 took PPP loans.
The settlement order against J.W. Cole Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.
A Merrill Lynch research project finds different priorities and values among these demographic groups when it comes to wealth planning; for advisors, better understanding can lead to better client conversations.
Concurrent is adding Steve Bielke to beef up its recruiting efforts.
