11/11/2016
Di Mauro, 41, is accusing her ex-husband of deliberately delaying finding new work after quitting his job to pay her alimony
11/10/2016
“Increased regulation can squeeze profitability because of the additional human capital, systems, and processes needed to comply."
11/03/2016
The SEC traditionally has not viewed issuers of securities, such as hedge funds and private equity funds, as broker-dealers.
11/03/2016
Ticket Reserve ran into financial difficulties and relied on infusions from Narayan’s clients to stay afloat, in return for which the advisor received close to $2 million in finder’s fees from the firm, according to the regulator.