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The seven advisors collectively had about $1.2 billion in managed assets, according to the Wells Fargo Advisors' suit against former in-house counsel Steven Satter, who joined his colleagues at the independent firm.
NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.
In the summer 2021, advisor Jonathan DeYoe tragically lost his only brother. Since then, he has been on a journey to rebuild healthy habits after experiencing this huge loss.
The move is part of the succession plan for AK Financial Group Founder Andrew Karlinski, who will wind down his RIA and transition to Private Advisor Group’s.
