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Margaret Dechant, CEO of 6 Meridian, explains the reasoning behind the firm's decision to go fully independent instead of using one of the popular breakaway broker support platforms.
The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.
Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.
Melanie Senter Lubin will succeed current President Lisa Hopkins, West Virginia’s senior deputy securities commissioner, after NASAA's annual meeting in September.
Gavin Spitzner, president of Wealth Consulting Partners, details the many ways in which financial technology is growing, even as advisors and wealth managers are underutilizing the tools available to them.
