According to the commission, Robert J. Mueller used investors' funds for numerous personal expenses and also used clients' funds to pay previous investors.
Hightower's 'strategic investment' in Investment Security Group comes at a time when the firm is 'poised for expansion' throughout Colorado, the West and the rest of the country, according to Hightower CEO Bob Oros.
Dan Johnson, President & CEO, Birchcreek Wealth Management, talks candidly about the reasons behind why his multi-generational team at Merrill Lynch chose to go their separate ways—with him choosing independence.
In her first year of building a wealth management firm, advisor Anne Marie Stonich was also caring for a newborn baby and struggling with her mother’s death. But the events have positively shaped her view on life and her work as an advisor.
Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.