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Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.
September 1 -
The state regulators group plans eventually to introduce a similar system for independent advisor representatives.
August 31 -
The collaboration will allow CapIntel's network of more than 12,000 financial advisors to leverage the Canadian firm's AI-powered tools.
August 31 -
The West Coast firm has new tools to manage both asset class drift and "what ifs" in client portfolios.
August 30 -
Raymond James had scored the big team in May, before Securian's sale of its retail wealth business to Cetera closed.
August 28 -
Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.
August 24 -
The announcement came only a day after the largest independent brokerage firm added a big bank-based wealth program with $4.7 billion.
August 24 -
World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.
August 23 -
The latest incoming recruit to the firm's Institution Services unit followed a half dozen other big moves by the firm in the bank and credit union channel in recent years.
August 23 -
The firm follows its major move to the Midwest by expanding its executive leadership team.
August 23
