New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
Merrill Nabs $11M Team From UBS; Raymond James Recruits $1.8M Group From FiNet
Meanwhile, Morgan Stanley adds a $1.9 million institutional advisor from Merrill in Atlanta.
New Hire Roundup: IMCA Announces 2014 Board
Also this week, Celine Colgan joined the Presidio Group, Girard Securities welcomed David Bombart and National Planning Corp. promoted Scott Montgomery.
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.
Impressions From T3 Conference: The Future Is Bright, Part 1
Perhaps one of the most striking themes heard at the conference is that the technology solutions have become so numerous, one of the greatest challenges is just choosing among them all.
LPL Names Sallie Larsen Chief Human Capital Officer
Former Fed Home Loan Bank HR executive becomes member of LPL’s executive committee.
New Hire Roundup: Harris Returns to Davis Polk; Citi Private Bank Welcomes Mohammed
This week in new hires, Davis Polk welcomed back Kim Harris and Nevada Mohammed joined Citi Private Bank’s Vancouver office.
Fusion Names Industry Veteran Salameh as Chief Marketing Officer
Former TD Ameritrade marketing director will provide marketing consulting services to advisors affiliated with Fusion Advisor Network, led by Philip Palaveev and Stuart Silverman.
Career Effects of Securities America’s Legal Woes, Uncertain Regulation
FA Insight’s Eliza DePardo suggests perceived lower risk of a BD rather than a RIA model will be “increasingly open to debate”
Ire Toward The IRS
The 403(b) industry is up in arms over proposed regulations issued by the Internal Revenue Service that would essentially strip 403(b)s of their unique status...