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January 2017 Archives

Are You Considering Breaking Away?

broker_dealer_cloud_400-351 The number of advisers considering breaking away from a traditional broker-dealer business model is on the rise. According to the latest research from Echelon partners, last year alone, more than 400 teams broke away from their broker-dealers to go independent, with over 15% becoming their own RIAs.

Investment Adviser in Trouble with SEC After Failing to Disclose Solicitation Agreement

SECpicEarlier this month, John Rafal, former president and CEO of Essex Financial Services, Inc., admitted wrongdoing and agreed to pay more than $575,000 in settlement charges.  According to the SEC, the Connecticut-based investment adviser defrauded a client, attempted to mislead the SEC’s enforcement investigators and lied to his other clients about the status of the SEC’s investigation.
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