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When advisor Will Hoffman’s son was diagnosed with a genetic disorder, he decided to set an example for his family around overcoming the struggles life may deal you.
The commission accused Global Predictions and Delphia of “AI washing,” making misleading claims about how they each used artificial intelligence in managing investments.
FINRA argued Osaic Wealth (formerly Royal Alliance) and Securities America didn’t have proper cyber controls in place at branch offices, resulting in dozens of breaches over several years.