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Pennsylvania Advisor Who Used Client Funds on Country Club Dues Gets 8 Years in Prison

Wealth Management

Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ. Mason was also ordered to pay nearly $25 million in restitution to his victims and nearly $2.4 million to the IRS.

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Why Gen 2 Advisors Are a Flight Risk

Wealth Management

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Resonant Capital Advisors CEO and President Benjamin Dickey RIA $2.2B Resonant Capital Merges with Tax, Accounting Firm QBCo $2.2B

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Financial Check Engine Light: How to Know When It’s Time to Revisit Your Plan

Tobias Financial

Yet just like your vehicle, your financial plan benefits from regular maintenance and timely adjustments. At Tobias Financial Advisors, we view financial planning as an ongoing process designed to evolve with your life. Tobias Financial Advisors is registered as an investment advisor with the SEC.

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How to Find a Fiduciary Financial Advisor

Darrow Wealth Management

For non-fiduciary financial advisors, recommendations may only need to be suitable , not necessarily in the client’s best interest. Hybrid firms can switch between their status as a registered investment advisor and brokerage, which can be problematic for individuals seeking unbiased financial advice.

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How to Find a Fee-Only Financial Advisor

Darrow Wealth Management

Fee-only firms are unique as they do not receive commissions from selling financial products, such as insurance policies or investment products. Fee-only financial advisors are often registered investment advisors too, meaning they have a legal duty to act in the clients best interest. Independent firm.

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Bank stock under ₹25 in focus as SMFG plans additional $1.1 billion investment in the company

Trade Brains

Synopsis : Yes Bank gained investor attention after reports of Japan’s SMFG planning an additional $1.1 billion investment, potentially raising its stake to 25 percent. These strategic investments by SMFG and SMBC highlight growing foreign interest in India’s financial sector, especially in the wake of potential U.S.

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Power Stocks: Will they be affected after Maharashtra Govt plans to reduce power tariff by 26%?

Trade Brains

Chief Minister Devendra Fadnavis announced that the Maharashtra Electricity Regulatory Commission (MERC) has accepted MSEDCL’s(Maharashtra’s leading electricity distribution utility) proposal. Lower expected returns could also delay expansion plans by listed power firms. Please consult your investment advisor before investing.