Mary Kate Gulick claimed to be psychologically 'broken like a twig' from Carson’s lack of response to allegations an employee sexually assaulted a conference attendee, according to a lawsuit filed in Nebraska federal court.
Clayton Ortloff, an advisor out of Midland, Texas, will join the independent broker/dealer’s model for advisors looking for more autonomy while buttressed by back office support.
Caz Craffy faces 20 years in prison for using his position as an Army Financial Counselor to invest survivors’ benefits in firms where he worked, according to the DOJ.
Taimur Baig’s move to Raymond James from Morgan Stanley is the latest of several teams joining the firm’s employee advisor channel from the wirehouse this year.
Astraea Wealth has launched on the Equita platform, focusing on women, LGBTQ clients and “anxious savers,” while Apella Wealth tops $4 billion in AUM with ClearLogic Financial deal.