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The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.
October 17
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BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.
October 17
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In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.
October 16
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He used investor money for his $6.7 million home and $3.1 million for chartering planes and personal travel, according to prosecutors.
October 16
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Carolyn Clancy, head of the BD segment, says its 200 client firms need more tools and capabilities in a new era of wealth management.
October 16
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More than 11,000 advisors have earned the education provider’s AIF designation.
October 10
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Who guards the guardians? Regulators, yes, but as CFPs we must also police ourselves
October 10
Mercer Advisors -
The change, the regulator says, will facilitate greater competition and innovation in the ETF marketplace, leading to more choice for investors.
October 10
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Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.
October 8
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CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.
October 7
