One securities attorney said the $2 million in fines was minimal considering the size of the firms, an indication that the SEC wants the industry to take the issue seriously.
Fincadia Group was attracted to Arete Wealth's bespoke alternatives offerings for HNW clients, including a partnership with art investment platform Masterworks.
Sponsored by Allianz Life Insurance Company of North America
The emotional and financial upheaval caused by the Covid pandemic and its aftermath, as well as the rising uncertainty caused by world events, have changed the way those entering and in retirement think about their post-work years.
Join this upcoming webcast on August 17th as our presenters examine how advisors can protect client portfolios during times of inflation. You'll learn what's driving inflation, and why it's likely to stay higher for longer.
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