Practice Management

According to the commission, the firm attempted to cover up “allegedly fraudulent conduct” by several reps who solicited clients in speculative securities despite the broker/dealer not signing off.

The survey also looked at what factors contribute to a sense of trust between investors and financial advisors.

Scott J. Mason of Rubicon Wealth Management defrauded at least 13 advisory clients out of more than $20 million, spending it on country club dues and a miniature golf course in New Jersey, the regulator claims.

What I learned from training eight new advisors simultaneously.