According to Secretary of the Commonwealth William Galvin, the broker made an excessive number of trades in order to boost commission fees while blaming account rebalancing and market performance.
The partnership with Juncture Wealth Strategies is part of a broader recruitment and transition initiative to attract wirehouse brokers looking to go independent.
Ameriprise also welcomed a financial advisor with $168 million in assets under management after more than two decades at Merrill Lynch.
Jul 29, 2021
Are companies with positive ESG profiles also good investments?
WealthManagement.com speaks with expert Claire Veuthey on what financial advisors most need to know about ESG rating systems.
Mooney Lyons Financial Advisors has $320 million in managed assets with four advisors.