8 Tax Evaders Who Should’ve Known Better
The lineup of tax dodgers includes a vice president, a U.S. treasurer and a federal judge.
17 RIAs Sign Succession Deals via Focus Financial
The advisor rollup firm aims for its 27 partners to work together on transitions and continuity planning.
20 Best & Worst Cities for Pension Funding
The woes of public pensions are big news, but not all are in crisis.
New Hire Roundup: FPA Welcomes David Brand Back to the Fold
Also this week, Securities America names a director of practice succession and acquisition and a new member for its recruiting team, while an SEC litigator joins WIlmerHale.
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAA
Stephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
Spouses Who Plan Together Are Best Prepared to Retire: Behavioral Study
New behavioral research predicts that discussion between pre-retirement spouses can lead to more success and less stress when they leave the work force.
Top 10 Most Generous States
A new study by The Chronicle of Philanthropy has found a huge divide in generosity across the country.
FINRA Review, Investor Choice Act Highlight Arbitration Anomalies
Two recent initiatives are intended to work in investors’ favor when it comes to the controversial practice of arbitration agreements.
SEC Swears In 2 Commissioners; FINRA Names New Governors
Kara Stein and Michael Piwowar, both former congressional staffers, are new SEC commissioners, replacing Elisse Walter and Troy Paredes.
Several notable compliance-related measures have been approved—or tabled—by the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors’ and brokers’ radar.