Top Portfolio Products: Stock Split, Euro Stoxx ETFs Launched
Plus, 361 Capital files to launch a long/short product, while Schwab adds Direxion, other ETFs to OneSource.
New Hire Roundup: Putnam Names Gould Head of Institutional Management
In another personnel move, Mariner Wealth Advisors has added ex-NFL quarterback Mark Vlasic as a senior wealth advisor.
Liz Ann Sonders, Schwab’s Investor Interpreter: The 2014 IA 25 Profile
Sonders keeps it simple for investors, and that has made her one of the most widely listened-to people in the industry.
Dan Skiles, SSG’s Tech Guru: The 2014 IA 25 Profile
Technology, yes, but in his new role at Shareholders Service Group Skiles offers insights into more than just the latest software.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
FINRA Reverses Schwab Class Action Waiver Decision
Schwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
Obamacare Wins U.S. Bond Converts as Slowing Costs Tame CPI
Regardless of what Americans think about Obamacare, reining in health care costs is winning the support of investors in U.S. Treasuries.
FINRA Enforcement: Arbitrator Dismissed for Phony Credentials
In addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
New Hire Roundup: Cetera Names New CIO
Meanwhile, Dynasty Financial Partners welcomed Ron Sallet, Morrison & Foerster added Charles Duross, and Fusion Family Wealth added Fred Gold.
Shareholders Service Promotes Dan Skiles to President
Technology and business expert raised to presidency of rapidly growing custodian Shareholders Service Group.