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According to charges filed by the Securities and Exchange Commission and the Justice Department, a trio of Nigerian nationals stole more than $2.9 million from at least 28 investors.
The SEC said the wirehouse’s broker/dealer’s inadequate policies failed to detect hundreds of unauthorized transfers between May 2015 and July 2022 from its customers’ or clients’ accounts.
Steve Brennan, managing director and head of private wealth solutions at Hamilton Lane, discusses how democratized access to private markets has helped foster growth beyond the wirehouses, the impact on an advisor's business and more.
By selecting the former Republican SEC commissioner, Trump is tapping one of the most influential GOP financial regulation insiders to oversee Wall Street.
