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Under SEC Chair Gary Gensler, regulators are striking a different tone than under former Chair Jay Clayton. But with further changes at the commission and DOL likely still to come, how will the industry respond?
A lot can be learned listening to clients’ experiences working with financial advisors—good and bad. We talked to Link Moser of Laudon, NH, who runs Windhill Design, a digital marketing agency.
David Armstrong and Mark Bruno talk about what’s fueling the growth of the most aggressive RIAs in the market and what that means for RIAs who are poised to join in the frenzy.
According to the commission, John Marques raised nearly $7.9 million and generated $824,000 in commissions from allegedly recommending and selling unregistered securities from the Florida-based company.
The firm will pay more than $16 million after the SEC argued 1st Global Advisors recommended certain mutual fund share classes for clients when more affordable options were available.