The unnamed rep recommended more than $2.1 million trades in certain mutual funds shares more appropriate for long-term use, according to FINRA, and Kovack Securities allegedly failed to spot the red flags.
The two global alternative asset managers have doubled down on their efforts to bring their products to the RIA channel, with hopes that their three-tiered strategy will resonate in the marketplace.
For 12 years, FlexShares has studied how and where advisors are finding efficiencies to better scale and grow their businesses, enabling them to create a better client experience.
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