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Ken Leech is taking a leave of absence as co-chief investment officer after receiving a so-called Wells notice from the SEC, a warning that regulators may recommend enforcement.
The lawsuits filed in Minnesota and California federal courts come as a New York-based law firm announced a new task force looking into the controversial practice, assisted by former SEC Commissioner Robert Jackson, Jr.
Jason Andrews and Ross Bauer of Merritt Point Wealth Advisors demonstrate how their transition from Wells Fargo PCG to FiNet resulted in new growth opportunities.
Schwab’s Lisa Salvi shares insights from the firm’s annual benchmarking report, revealing how top-performing RIAs are driving significant organic growth amidst industry challenges.
