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An advisor of 36 years, Jay Mastilak moved to Stifel from Wells Fargo.
July 3
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The custodial bank says it has reimbursed the affected clients with interest.
July 3
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Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.
July 3
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The RIA adds $600M in AUM with its third acquisition of the year.
July 2
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Robert Cook’s pay far outshines that of other SRO chiefs.
July 2
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“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.
July 2
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An otherwise simple strategy has many pitfalls.
July 2
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Recruitment is ongoing — not a one-time sales pitch.
July 2
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Digital transformation will only accelerate, a technology consultant tells wealth managers.
July 2
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Despite changes in the new law aimed at scrapping a penalty for most new couples, those from high-income households may owe more this year.
July 2
