Articles tagged "Peter Mafteiu"
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Why legal experts expect radio personality and registered rep Dawn Bennett to be barred from the industry for what started as an exaggeration of AUM
In the great tradition of legal quagmires, the cover-up seems as much the issue as the original broadcasted misdeed
September 18, 2015 at 7:55 PM
Schwab will take a machete to Schwab Private Client hyper-fee fund holdings but still steer assets to high-margin OneSource, ADV says
The cost-slashing by the $65-billion AUM San Francisco RIA is meant to streamline and improve process, according to the company
April 24, 2015 at 4:40 PM
Schwab makes thousands of its RIAs subject to fee for robo-software, allocation of client cash to Schwab Bank
The San Francisco firm told RIAs on a webcast that their firms must have $100 million on account or pay for robo-software
March 23, 2015 at 7:21 PM
Government shutdown may wallop SEC to the long-term detriment of RIAs
Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff
