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The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.
The three advisors at the San Diego–based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer and are reconnecting with the company from Cetera.
The deal marries S&P, one of the most famous names in financial markets, with a research company that supplies forecasts to most of the world’s biggest companies as well as pricing for bonds and credit default swaps.
The states are the two latest to create their own regulations based off the model passed by the National Association of Insurance Commissioners earlier this year.
The Office of the Comptroller of the Currency found the bank had deficient risk-management practices and lacked appropriate checks on conflicts of interest.
