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For years, RBC executive Shareen Luze struggled with anxiety. But the more she was vulnerable and shared her story in the workplace, the more she connected with people. Today, she brings a unique perspective on the role a sense of belonging plays...
According to the commission, Russell Todd Burkhalter, the CEO of Drive Planning, allegedly used new funds to pay existing investors’ returns and personal expenses, including yacht and private jet payments.
In a call for a class action lawsuit, Daniel Varady argues that Wells customers “received artificially and unreasonably low rates” on uninvested cash swept into deposit accounts.
The Pacific Financial Group highlighted hypothetical performance in ads in a way that violated the commission’s marketing rule, according to a settlement order released Friday.
According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.
Don Bennyhoff, who was at Vanguard for nearly 23 years, hopes to differentiate his new firm by helping RIAs demonstrate their value beyond investment management.
