The pardon of David Tamman was one of more than 140 pardons and commutations the outgoing president announced shortly before the end of his tenure and Joe Biden's inauguration.
Advisors Michael Brown and Brian Flynn have left Magnus and teamed up with practice management coach Penny Phillips to create Journey Strategic Wealth, a new spin on the aggregator model.
The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.
As chair of Maryland's Financial Consumer Protection Commission, Gary Gensler advocated for a client-first fiduciary standard for broker/dealers as well as 'anyone who holds themselves out as an advisor.'
With last week's violence at the Capitol and this week's presidential inauguration weighing on Americans' minds, advisors must consider if and how politics should arise in conversations with investors.