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Peter Mafteiu

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Articles tagged "Peter Mafteiu"

Dawn Bennett accounted for AUM totals by saying she managed cash for a South African telecom, a Virginia-based travel agency, and Virginia-based historical preservation group

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

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Peter Mafteiu: This is like overwhelming a reader ... so they really cannot map out the changes that might affect a particular customer.

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

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Bernie Clark: We have been working closely with advisor groups over the past year to shape our offer.

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

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Lockdown in Washington may mean a short reprieve for advisors in the midst of exams, but the looming shutdown portends nothing good for the industry in general, say lawyers

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

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