The Pharrell Williams of Advisors?
Much like Pharrell Williams sings in "Happy," Donna Skeels Cygan feels that happiness is the truth for her clients.
SEC Gives Compliance Officer $1M Whistleblower Award
The whistleblower is set to receive between $1.4 million and $1.6 million for reporting "imminent misconduct."
Enforcement: Deutsche Bank to Pay $2.4B Over LIBOR Manipulation
Meanwhile, RBC will pay $1.4 million to FINRA for failing to follow its own guidelines, resulting in unsuitable sales.
A 401(K) Plan With Real-Life Behavior in Mind
The Dream Forward plan, to be launched for the public soon, shows participants how to balance retirement savings with short-term goals.
Rivlin: Fed’s Real Challenge Is Preventing Another Financial Collapse
Biggest worry isn’t when Fed will raise rates, but how it should help identify threats to financial stability, said former Fed vice chairwoman Alice Rivlin.
Raymond James Posts Record Revenues for Q2, but Profits Slip
Total number of advisors in the Private Client Group reached record 6,384, but assets grew faster than headcount.
DOL Not Budging on Fiduciary Rule Comment Period
Labor Secretary Thomas Perez says that the current timeline, including a hearing and another chance to comment, is "a long time."
Many Older Americans Die With Little Money
Singles and people who died relatively young were the most likely to die with no assets, according to an EBRI study.
For HNWs, One Advisor May Not Be Enough
"It really takes a village to get the reporting done correctly" for some high-net-worth clients, says attorney Adrienne Penta of Brown Brothers Harriman.
Top 20 Richest Colleges of 2014: The Biggest Endowments
Healthy investment returns allow schools to fund a larger portion of their budgets from endowments.