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Articles written by Guest Columnist Peter Mallouk


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Peter Mallouk: When I reflect back on this journey, there will be one episode I will certainly not recall fondly.

After settling with the SEC for $250,000 over two compliance issues, Peter Mallouk explains what he quietly and painfully experienced as his RIA grew from $15 billion to $36 billion

The CEO of Creative Planning ran into trouble after a local radio host became a client and part of his advertising. The host/client then enthused about his wealth manager well past the SEC's testimonial tolerance

September 17, 2018 – 4:09 AM

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