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Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

The asset management, custodial and technology firm made its pitch to teams confronting a consolidating field with a dizzying array of options.

Simon Thompson is the author of "Green and Sustainable Finance: Principles & Practice," chair of the U.K.'s Sustainable Finance Education Charter and chief executive of the Chartered Banker Institute.

Barry Sommers, the wealth management chief CEO Charlie Scharf brought in, is expanding after fixing up the unit; "Five years from now the independent channel will be our biggest channel."

While the three letters have attracted criticism from the left and the right in the past year, constructing portfolios reflecting sustainable values is still in demand.

Dave Etling is senior vice president and general manager of InComm Healthcare.

It's not all hard luck and even harder times in country music. Sometimes the songs are about making money — and they can offer some sage advice on what to do with it.

Expanding its footprint at the intersection of tax and wealth management, Cetera faces challenges in the execution of its growth goals, experts say.