New Hire Roundup: SEC Names Pollock L.A. Exam Chief
Meanwhile, wealth advisory firm Presidio Group opens a new Washington office.
Tony Robbins Slams Critics, Says He’s Not a Financial Advisor
Supercoach Tony Robbins, who invites seminar attendees to walk over hot coals, is now raking RIAs over the coals for taking “pot shots” at him.
SEC Enforcement: Man of Many Aliases Charged With Stock Fraud
California man with several aliases was charged with fraudulently selling $900,000 worth of stock that he didn't actually own.
Q3 Luxury Home Sales Increase as Buyer Profile Shifts
Redfin Research Center reported Wednesday that sales of homes for $1 million and up increased by 9% in the third quarter, while the total market declined by 1.2%.
10 Best States Ranked by Pension Promises
Even the soundest state pension plan is just two-thirds of the way toward accumulating assets sufficient to pay its retiree obligations.
Enforcement Roundup: Madoff Recovery Total Hits $10 Billion
Meanwhile, the SEC suspended trading of four companies over concerns about their Ebola remedy prospects.
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.
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office Equipment
The former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
12 Best Cities for Successful Aging: 2014
There's more to a good place to retire than a sunny climate. The Milken Institute's 84-factor ranking yields some surprising findings.
Securities America Wraps Up $2.5B Insurance Acquisition
The latest deal brings the IBD to more than 200 advisors and an OSJ that sells variable insurance products.