Tagged with "RIA"

SEC Proposes Enhanced Examination Resources For RIAs in Light of Industry Growth

Posted on July 25th, 2023 at 8:42 AM
SEC Proposes Enhanced Examination Resources For RIAs in Light of Industry Growth

The Securities and Exchange Commission's (SEC) Chair, Gary Gensler, has presented a solution to address the challenge of overseeing the growing number of registered investment advisors (RIA) within the Division of Examinations.

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Proposal to Prohibit Non-Compete Clauses May Impact Mergers and Acquisitions of RIAs

Posted on January 18th, 2023 at 3:06 PM
Proposal to Prohibit Non-Compete Clauses May Impact Mergers and Acquisitions of RIAs

A federal prohibition on noncompete clauses may impact future mergers and acquisitions of investment advisory firms as well as how financial advisors transfer to new firms. 

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Former Rockefeller Advisor Lands at Colorado RIA After Unauthorized Trading Allegations

Posted on September 7th, 2022 at 2:08 PM
Former Rockefeller Advisor Lands at Colorado RIA After Unauthorized Trading Allegations

A former Rockefeller Capital Management advisor, Brent Hablutzel, has joined an LPL Financial-affiliated firm after his termination in July over allegations that he completed several unauthorized trades on behalf of his clients. 

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LATEST NEWS AND ARTICLES

July 16, 2025
Former CFA Institute Executive Charged in $5 Million Embezzlement Scheme

Michael J. Collins, the former chief marketing officer of the CFA Institute, has been accused of embezzling nearly $5 million from the financial education organization through a long-running fraud scheme designed to fund a lavish personal lifestyle.

July 15, 2025
Former Advisor Sues Prime Capital Again Over Unpaid Equity Redemption

A former San Diego-based advisor has filed a second lawsuit against Prime Capital Financial, alleging breach of contract after the firm failed to honor agreed-upon terms related to his equity buyout.

July 14, 2025
Wisconsin Man Charged in $15.8 Million Ponzi Scheme Disguised as Investment Advisory Business

Federal authorities have charged a Wisconsin man with orchestrating a multimillion-dollar Ponzi scheme that defrauded more than 120 investors over six years.