The director of investor protection at the Consumer Federation of America will focus on 'retail investor protection, including matters relating to policy, broker-dealer oversight, investment adviser oversight, and examinations,' according to the SEC.
The commission claims John Woods and his RIA, Southport Capital, continue to defraud clients 'on a daily basis.'
The investment from private equity firm Onex Corp., which joins TA Associates as equal capital partners in WEG, will drive the RIA's organic growth and M&A expansion, CEO Jeff Dekko says.
Like many firms, Broadridge views the pandemic as an opportunity for digital transformation.
As head of Diverse Segments, Clarence Nunn will lead Wells Fargo Wealth and Investment Management's efforts to expand the firm's client diversity and services.
The association's annual event was scheduled to be held in September in Columbus, Ohio, but the spread of the delta variant made the decision 'straightforward,' according to CEO Patrick Mahoney.
Schweiss, who spent 12 years at TD Ameritrade before leaving in 2020, will join Sierra on Oct. 1.
Mark Bruno, managing director at Informa Wealth Management, talks with Stratos Wealth's Jeff Concepcion about the growth and rise of Stratos into a platform with more than $19 billion in assets under management.
