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The SEC fined Goldman Sachs $6 million for sending inaccurate or incomplete trading data and Citadel $7 million for breaking short sales labeling rules and incorrectly marking millions of trade orders.
The Barclays breakaway discusses his 2015 landmark leap with five partners, three offices, and $3 billion in AUM, plus shares why he feels UHNW clients are best served in independence, what they do to drive extraordinary growth, and much more.