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NCA Financial Planners' Kevin Myeroff discusses his thought process around succession and why he ultimately chose to sell his firm to Sequoia Financial.
Charles Malico, a former broker with Network 1 Financial Securities, will also pay a $5,000 fine. The disciplinary action follows the SEC’s first violation notice issued earlier this year citing the new standard.
The rejection over the risk of fraud and manipulation in the spot Bitcoin market is “capricious” and “discriminatory,” Grayscale wrote in a court brief.
The order concerning New Harbor Financial Group's recommendation of an inverse leveraged ETF comes several months after the commonwealth secretary announced an investigation into b/ds distributing single-stock ETFs.
Model portfolios are an increasingly popular way for advisors to reduce the time needed to manage individual client portfolios. This way, advisors can spend more time growing their overall practice while providing existing clients with the...