By the time you read this, there's a good chance Ameriprise lawyers have settled with aggrieved ex-clients of Securities America. But the drama won't stop there.
Acquisition-hungry Newport Beach wealth manager United Capital is at it again, this time buying a Philadelphia financial planning shop and its $170 million in AUM.
Advisor-owned trust company National Advisors Trust has continued to ramp up its service platform over the years and is now capturing relationships that once would've ignored it.
It looks like Dallas broker-dealer SWS was less distressed than would-be merger partner Sterne Agee hoped...even though the distress was admittedly fairly substantial.
Having given his name to Sarbanes-Oxley, Michael Oxley, now a lawyer in private practice, has filed as a lobbyist on behalf of FINRA in order to plead that regulator's case in Congress for taking over RIA supervision.
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You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.