Former
The 36-year-old's plea, to two counts apiece of wire and securities fraud, will land him in prison between 12 and 30 months. His sentencing is scheduled for Nov. 2. During his court appearance Tuesday, Ajro remained silent, except to answer questions from U.S. District Court Judge Nathaniel M. Gorton.
Federal regulators said Ajro profited $200,000 of Prudential's overall $700,000 commisions windfall.
Three advisory teams managing $10 billion in the San Francisco area are among an ongoing wave of departures from the biggest U.S. bank.
Experts say that busy entrepreneurs often miss incentives and advantages available to them. Financial advisors and tax professionals can give them a nudge.
The CEO of the RIA "roll-up" outfit thinks that ongoing industry consolidation doesn't necessarily mean all firms will start to look the same.
As ESG investments face political backlash, here's how financial advisors are talking to clients about impact investing.
An industry recruiter said the Bank of America subsidiary has become almost "unhinged" with the amount of money it's willing to offer advisors it's recruiting.
After a decade-long effort by holders of the personal financial specialist credential, aspiring candidates can be tested on investments, retirement plans and other areas.
