According to the commission, James David Burleson’s scheme caused over $3 million in losses for his clients and a 26.5% positive return for himself. The SEC argues the probability that divergence occurred by chance was “less than one in a million.”
Small-cap stocks are a sector that has rallied in the weeks since the presidential election. Here is how the top 20 largest small-cap ETFs have performed in the past month.
The deals with Southeast Financial Group, Radiance Private Wealth and Silvertree Retirement Planning are part of the Summit Growth Partners initiative and bring it to 16 strategic investments this year.
Jonathan Robbins will join the $8.2 billion firm as general counsel and chief compliance officer, while Michael Mignosi will become the firm’s new director of organic growth.
Brendan Krebs will lead PNC Investments' Wealth Advisor team, reporting to President and CEO Richard Guerrini and helping build out the firm’s increasing focus on mass affluent clients.
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