SEC Proxy Advisory Roundtable to Discuss Conflicts of Interest, Competition
Former SEC Chairman Harvey Pitt will be among the panelists at SEC's Dec. 5 proxy advisory firm roundtable.
SEC, FINRA Enforcement: Advisor to NFL, NBA Players Barred Amid Fraud Case
FINRA banned a former advisor to athletes, like Brandon Knight of the Detroit Pistons, after he skipped a hearing in an $18 million fraud case.
10 Best & Worst Tax States for Retirees
ThinkAdvisor highlights the five best and five worst states from a Kiplinger study on the tax environment for retirees.
17 RIAs Sign Succession Deals via Focus Financial
The advisor rollup firm aims for its 27 partners to work together on transitions and continuity planning.
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.
12 Worst Financial Advisors in America: 2013
ThinkAdvisor gathered a list of awful advisors from the past year and ranked them, balancing amount stolen with amount of “ick” factor involved.
Atlanta Capital Rolls Up Small Family Office Firms
Atlanta Capital, which just bought neighboring PFM Capital, claims it is ahead of a national family office trend, serving clients with assets under $100 million.
New Hire Roundup: Clearbrook Names Leslie Billet Managing Director
Deb Clarke has become Mercer's global head of investment research, and Bruce Graham recently joined CAPTRUST Financial Advisors as a vice president and advisor.
Top 10 Most Generous States
A new study by The Chronicle of Philanthropy has found a huge divide in generosity across the country.
TDAI Awards Next Gen Scholarships to Recruit Young Advisors
These are the first scholarships TDAI has awarded since it established an annual Next Generation Scholarship Program earlier this year.