The acquisition, MAI's fourth this year, includes Winpoint Financial, a division of Geier that serves Major League Baseball athletes.
The two petitions ask the commission to revisit a 2007 proposed rule on whether investment advice can be 'solely incidental' for brokers and to consider modernizing an aspect of the Investment Advisers Act of 1940.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their most recent book, Integrating Culture in Successful RIA Mergers and Acquisitions, as a way to share their experience and expertise.
Industry guru Bob Veres gives his unscripted and uncensored thoughts on the wealth management world—as it stands now and where it’s heading.
Former MML rep Keith Gill was posting online as 'Roaring Kitty' about GameStop and other stocks, right under the firm’s nose, according to Massachusetts securities regulators.
Felix Gorovodsky will serve nearly three years in prison for defrauding an elderly woman and using her funds to pay personal expenses, including more than $100,000 in student loans.
