‘Dissident’ Candidate Elected to FINRA Board
Brian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
Fidelity National Said in Exclusive Talks to Acquire SunGard
The current SunGard deal is valued at $8.3 billion, down from its $11 billion price tag in 2005.
For the Wealthy, It’s Hard to Find Good Help
Family offices are hiring household help for high-net-worth clients — but should they get involved?
SEC, FINRA Enforcement: Ex-Oppenheimer Employees Fined in Penny Stock Case
Meanwhile, FINRA fined Global Strategic Investments LLC for suspicious Venezuelan bond activity.
ABLE Act Passed, but Many Questions Remain
For states deciding whether to host or contract a qualified disability savings account program, there’s a lot to consider.
Top 10 Best-Funded State Pensions: 2015
Only two states have fully funded pension plans, according to Pew data.
Top 20 States for Private Equity Investment in 2014
Some 3,100 U.S. businesses benefited from private equity investments last year.
Enforcement: Chase to Pay $136M Over Debt Collection Practices
Meanwhile, FINRA barred five brokers for a sham private placement offering.
‘Dissident’ Candidate Vies for FINRA Board Seat
With FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
Advisors Who Serve(d) Tell Their Stories: Fourth of July, 2015
In the second part of our latest slideshow honoring advisors who served in the armed forces, we present 17 veterans deserving recognition.