Jim Nagengast submitted his complaint against his former firm under seal, so the details of the allegations are unknown. But attorneys pledged to release a redacted copy soon.
According to Ohio Securities Commissioner Andrea Seidt, the new module is based on a state-specific module launched in 2023, and can help advisors signify to clients that they’re “there to help.”
Zephyr's Ryan Nauman and Horizon Investments' Clark Allen discuss the trends and future of ETFs, emphasizing the importance of connecting investment products to client goals through goals-based planning.
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