Mariner is suing three advisors who recently left to join Savvy Wealth's RIA affiliate. In the suit, Mariner argues Savvy poaches books of business without “regard to contractual obligations.”
Learn the three critical strategies advisors can implement to ensure the retention of assets as they navigate the historic intergenerational wealth transfer, and position themselves as indispensable to their clients' heirs.
The new additions include Jennifer Geoghegan, who previously served as The Colony Group’s first chief marketing officer, and Tony Ling, a former managing director at private equity firm Corsair Capital.
The 6-3 decision deals a blow to an administrative system the SEC once used to adjudicate more than 100 cases a year before scaling back amid legal challenges.
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