SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts Flop
An end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
Top 10 Wall Street Crooks: Insider Trading
Using confidential information to make a mint is nothing new. Here are 10 that carried on that fine Wall Street tradition.
Does Your Client Want to Divest From Fossil Fuels?
Many clients don't like companies that pollute. Dan Kern and HIP Investor lay out the realities of constructing a fossil-free portfolio.
20 Best & Worst States for Pension Funding
Public employees of some states find their retirement plans imperiled through bloated promises and mismanagement, while employees of other states are better off.
NAPFA Taps Leitz as National Chairwoman for 2-Year Term
Linda Leitz, co-owner of the fee-only financial planning firm It’s Not Just Money in Colorado Springs, will be NAPFA chairwoman for the 2013-2014 board term.
SEC Sanctions Portfolio Manager for Lying to Chief Compliance Officer
He later tried to conceal his misconduct by creating false documents that purported to be pre-trade approvals, the SEC says.
Marijuana Stock Scams on the Rise
Now that medical marijuana is legal in 19 states, FINRA warns investors that scammers are capitalizing on its popularity.
Senate Panel Okays 33% SEC Budget Hike, Setting Up House Tussle
The Senate Appropriations Committee approves 33% SEC budget increase, or $353 million, setting up a battle with the House, which only seeks a $50 million increase. At stake could be more RIA examiners.
New Hire Roundup: Pascal Named President of Commonfund Capital
This week in new hires, Commonfund Capital named Donald Pascal president, and Paul Knight, Michael Gyure and Michael Gorman joined Janney Capital Markets.
Cambridge Rebounds After Death of Key Executive
During a wide-ranging discussion at its Premier Club Conference in Colorado, CEO Eric Schwartz and President Amy Webber talked about the loss and how the firm is handling it.