The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.
Merchant Investment Management said it has taken a minority stake in Newport Beach, Calif.-based RIA Corient Capital Partners, which boasts $3.1 billion in AUM.
In this first webinar of Zephyr’s Be Active series on SMAs, we’ll shed some light on the industry in a fun, interactive webinar format modeled after the boardgame Mystery Date. Join 9/22/20 @ 4pm ET / 1pm ET
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