In separate cases, the Financial Industry Regulatory Authority Inc. has barred Shlomo Strugano and John Chrysadakis for failing to take part in investigations looking into their conduct.
Mr. Strugano, who worked for 12 firms from 1999 to 2015, when he resigned from First Allied in Reseda, Calif., was being investigated by that firm for having allegedly forged or falsified customer signatures and initials on account and transaction documents. He is not currently an employee of a securities firm.
Mr. Chrysadakis resigned from Northwestern Mutual Investment Services in March after denying allegations of fraudulent activity, including alleged forgery of nonvariable insurance forms and alleged submission of unauthorized nonvariable policy applications, as well as undisclosed financial liens and judgments. He is no longer employed in the securities industry.
Relationships are key to our business but advisors are often slow to engage in specific activities designed to foster them.
Whichever path you go down, act now while you're still in control.
Pro-bitcoin professionals, however, say the cryptocurrency has ushered in change.
“LPL has evolved significantly over the last decade and still wants to scale up,” says one industry executive.
Survey findings from the Nationwide Retirement Institute offers pearls of planning wisdom from 60- to 65-year-olds, as well as insights into concerns.
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