Dynasty Adds $800M Team From Morgan Stanley
Meanwhile, Raymond James grabs teams from Ameriprise and Baird and a rep from Edward Jones.
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.
LPL Names David Akellian of Century Securities to Head Custom Clearing Unit
Veteran clearing and broker-dealer executive will execute against LPL's strategy to grow its clearing and custody business among insurance, bank and other BDs.
151 reasons to dump Cox
Call it a Hail Mary. With SEC credibility in the toilet, Obama looks to FINRA head Schapiro to take the reins. Pity Cox (to a...
Merger Fever Strikes Life Insurance Associations
The presidents of LIMRA International and LOMA--two international associations that provide their insurance and financial services company members with research, marketing, distribution, and operational services--issued...
Stretched Too Thin?
No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
Competitive Regulators Might Scapegoat Hedge Fund Industry
NEW YORK (HedgeWorld.com)--Goaded by the aggressive investigations of New York State Attorney General Eliot Spitzer, the Securities and Exchange Commission could be looking to increase...
EFA Successful in MFA Completes Submissions to SEC
WASHINGTON (HedgeWorld.com)--The Managed Funds Association sent its third installment of its commentary to the Securities and Exchange Commission this week, officials announced. The latest document is...