The SEC claims the independent broker/dealer failed to supervise reps who sold retail investors a leveraged oil ETN that was designed for traders; FINRA fined the firm for inadequate supervision of annuity sales.
The Bapis Group, a $1.2 billion advisory team, leaves HighTower to join former Morgan Stanley wealth exec Greg Fleming’s Rockefeller Capital Management.
Ric Edelman delivers the truth to Michael Kitces about advisor marketing and explains how he grew and scaled his business, Edelman Financial, over time.
