During the 2020 fiscal year, the SEC Office of Compliance Inspections and Examinations (OCIE) conducted more than 2,950 examinations.
The California man was wanted by the FBI for his part in an alleged $35 million Ponzi scheme.
FMAX offers something no other financial services firm does at the moment.
Overall, U.S. life insurers and annuities issuers impressed in the third quarter of 2020.
Baby Boomers hold the world's purse strings and Orion CEO Eric Clarke believes he has what it takes to help advisors capture billions in assets.