U.S. securities regulators recently asked a Miami wealth manager about its ties to both Guggenheim Partners LLC and a company that purchased an oceanfront home with Guggenheim Chief Executive Mark Walter, according to people familiar with the matter. The questions came during an appearance late last month by the Securities and Exchange Commission to the Miami offices of Guggenheim Partners Latin America Inc., these people said.

Source: Wall Street Journal November 05, 2017 16:07 UTC