SEC Enforcement: AlphaBridge Capital, Deloitte & Touche Charged
SEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
DOL Fiduciary Plan a ‘Big Government Scheme’: House Lawmaker
DOL’s latest fiduciary proposal "will lead to the same harmful consequences as the first and should suffer the same fate," says Rep. Phil Roe, R-Tenn.
New Hire Roundup: SEC Names Regional Director in Salt Lake City
Meanwhile, tennis champion Andy Murray joined the advisory board of Seedrs, a U.K.-based crowdfunding platform.
Apple Is the New Pimco, and Tim Cook Is the New Bond King
Tech companies hoarding cash have become big fixed income players, going after investment-grade offerings.
New Hire Roundup: NASAA Names Joseph Brady Executive Director
Meanwhile, TIAA-CREF announced that Derek Dorn has been named vice president of public policy and associate general counsel.
10 Worst States for Military Retirees: 2015
The average enlisted servicemember retires from military duty at 43, and many have trouble re-entering the work force.
Chris Dodd and Barney Frank: Wall St. Reformers —The 2015 IA 35 for 35
In an exclusive interview, former Sen. Dodd speaks about the Dodd-Frank law's progress, regulators’ fiduciary efforts and where the next crisis will come from.
Raymond James Adds Complex Managers, FAs From Wirehouses
In addition, it taps a marketing veteran to lead its Network for Women Advisors, which has more than 800 FAs.
The 2015 IA 35 for 35
These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
Top 15 Most Expensive States for Long-Term Care: 2015
Paying for health care is a top boomer retirement worry — and in these states, it’s easy to see why.