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Wealth Enhancement Group has nearly doubled its assets over a two-year period.
June 15
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The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.
June 14
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The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.
June 14
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Other states are likely to enter similar agreements with the broker-dealer.
June 13
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Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.
June 11
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Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.
June 11
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The advisor was accused in a lawsuit in January of swindling a Georgia couple out of $330,000 in retirement savings.
June 11 -
The move marks the fifth new office added by the hybrid RIA this year.
June 11
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The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.
June 7
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The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.
June 7
