SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect Match
The SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
Faber’s No-Fee ETF — and Why Asset Allocation Doesn’t Matter
Concluding that low cost trumps portfolio optimization, investment quant Meb Faber provides an ETF to meet that need.
New Hire Roundup: Morningstar Shuffles Leadership
Meanwhile, the SEC has appointed a new equity market structure committee, which includes FINRA CEO Richard Ketchum.
You (Sometimes) Get What You Pay For
Two subjects tend to surface around this time every year: compensation and valuation.
2014 Advisor Hall of Fame
Now in its 24th year, Research magazine's eagerly awaited benchmark of industry excellence honors five.
Orion Integrates Data Aggregator Quovo as T3 Tech Conference Kicks Off
The deal will bring aggregated data from thousands of financial institutions to a leading portfolio trading and rebalancing system.
Today We’re Managing. Later: Global Depression
Economist Dambisa Moyo warns 5,000 Schwab Impact attendees about the risks of being blindsided by dangerous world trends.
New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
How Chess Can Make You Rich
A grandmaster and financial advisor look at investing through the tactics of the chessboard to get a more objective view of how to become rich.
How Financial Planning Saves Clients (and Advisors) From Themselves
How the evolving process of financial planning helps clients (and their advisors) avoid the worst self-inflicted wounds.