New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
10 Scariest States Ranked by Pension Promises
If the nation had an actuary-in-chief examining state pension systems, he'd have to declare the state of the states “bleak.”
Top 15 States With Best 401(k) Participation Rates
Nationwide, only 71.6% of participants have contributed to their workplace 401(k) plan in the most recent plan year, a new Judy Diamond study says.
10 Richest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the most amount of money, and if it means they are less effective legislators.
SEC Charges Sands Brothers With Custody Rule Violations
SEC charged Sands Brothers and three of its top officials, including its CCO, with failing to provide timely statements on the firm’s private funds.
Washington Watchers See Big Retirement Push in 2015
Retirement planning officials should prepare next year for the release of DOL’s fiduciary plan, the official launch of Obama’s MyRA and more.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
Morgan Stanley Recruits 5 Advisors; Merrill Adds Team
The wirehouses each add registered reps from rival firms with more than $500 million in client assets.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.