The former head of wealth management at Morgan Stanley has got experience, talent and ambition. And now he has the Rockefeller Family as backers. What is his plan?
Merrill Lynch has been hit with a $1.25 million penalty by the Securities and Exchange Commission for failing to recognize red flags in the unregistered sales of securities on behalf of a China-based issuer. ...
SEC Warns of Unlawful Digital Currency Exchanges The Securities and Exchange Commission released a statement Wednesday warning investors that some digital currency exchanges might be unlawful. "If a platform offers trading of digital assets that are securities and operates as an 'exchange,' as defined by the federal securities laws, then the platform must register with the SEC as a national securities exchange or be exempt from registration," the statement said. ...
eMoney Launches Continuing Education Program for CFPs eMoney has created a new continuing education program. Developed by eMoney's in-house team of 12 Cerified Financial Planners, the program is available to all eMoney clients in need for CE credits to apply toward their CFP designation. The online program will be offered via live, one-hour sessions on the third Thursday of each month. ...
