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Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.
June 23 -
The bank's U.S. brokerage unit which focuses on ultrahigh-net-worth clients snags a new branch manager.
June 23 -
The three advisors all joined the super-regional firm from Janney Montgomery Scott.
June 23 -
The concentration of CFAs in Abu Dhabi speaks to the power of an array of sovereign funds in the city charged with investing hundreds of billions of the nations oil-generated riches.
June 23 -
Despite the benefits of independence, there is an added time, cost, liability and regulatory burden.
June 23
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Two former National Planning Corporation brokers "are just normal dudes and they just screwed up," says a lawyer for one of the men.
June 22 -
Robo startups are expected to reach $452 billion in AUM in five years, but incumbent firms will possess over $1 trillion in assets in the digital automated advice space.
June 22 -
Robo advisors are gaining traction, especially among millennial investors, who are very sensitive to competitive pricing. Extensive automation will be needed to defend against them.
June 22 -
Goldman Sachs, which is looking to issue ETFs this year, hired BlackRock veteran Tony Kelly as head of product development for that unit.
June 22 -
Pershing CIO Ram Nagappan offers a framework to help advisors think about how to transform their businesses to digital.
June 19
