In recent years, investors have flocked to low- and no-fee investments and providers. But there may be a downside for investors who focus only on fees when making investment decisions.
The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.
The three advisors at the San Diego-based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer, and are reconnecting with the company from Cetera.
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