The agency’s top criminal chief has described digital and virtual currencies as a “significant threat” to tax collection and said the agency will soon announce criminal tax evasion cases.
Move continues a shuffling of new and veteran managers to new locations in key markets.
AdvicePay, Michael Kitces and Alan Moore’s fintech offering, has inked deals with Cetera Financial Group, Private Advisor Group, Ladenburg Thalmann and Ameritas.
Bank is “thrilled” with its slow, steady progress in satisfying advisors who want to set up as registered investment advisers under the Wells clearing and custody umbrella, executive says.
IFS Securities, an Atlanta-based broker dealer, said it suffered “substantial losses” because of what it called unauthorized transactions made by one of its highest-ranking employees, prompting the company to alert federal regulators.
Rollup firm, whose private equity owner is believed to be in merger negotiations, sued an advisor last week who joined a rival RIA group.
Three-million-dollar producers who spent their careers with the Thundering Herd wanted to stay with a wirehouse, while more junior team starts independent advisory practice.
Former wirehouse advisor wins expungement of Raymond James’ allegation that it fired him for violating the Protocol for Broker Recruiting by having excess client information when he joined from Merrill Lynch.
Michigan woman, 63, asserts that she was railroaded over e-mails sent to Schwab’s RIA clients about company policies.