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.
Even Congress Doesn’t Like the Tax Plan It’s Ready to Pass
Lawmakers, about to pass a short-term deal on tax extenders, know what they’re doing is bad policy. And they’re doing it anyway.
Wells Fargo Adds 2 Reps, Boosts Overall Headcount in Q3
The third-biggest wirehouse says its client assets total $1.4 trillion.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
Less Affluent Americans Boost Charity; Wealthy Donors Tighten Belts
Despite earning less, middle- and lower-income Americans have increased the share of their income thay give to charity since the recession.
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660M
Boutique firms continue to attract registered reps, including some from the wirehouse firms.
GOP May Take Senate, but No End to DC Dysfunction: Political Pundits
Inside-the-Beltway political 'handicappers' Stuart Rothenberg and Charlie Cook tell IRI crowd not to expect tax reform even if Republicans take control of the Senate.
New Hire Roundup: Senate Confirms Social Security Advisory Board Members
Meanwhile, Mike DiCenso joined Mesirow Financial as managing director and head of national sales in its investment strategies division.
12 Best States for Adjusted Advisor Pay
Low cost of living often offsets lower advisor pay in some states, while in other states high pay offsets high cost of living.
Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.