The investigation, which spanned four years and involved 14 state regulators, revolved around how the firm supervised the transferring of brokerage account assets into advisory accounts.
Marc Turansky is starting in the newly-created role of head of investment advisory programs as of Monday, according to Keith Glenfield, head of investment solutions.
At 17 years old, Michelle Begina found out her parents used her college fund to buy a yacht. The decisions she made after stepping off that dock have shaped the woman she is today.
Thiel's Indivisible Partners is now live and has recruited a former Merrill advisor team, New York-based Woodring I LeRoy Capital Advisors, with about $640 million in client assets.
Did someone forward you this newsletter? Sign up here to receive it direct.
You are subscribed to this newsletter as newsletter@newslettercollector.com
To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.
