SEC Enforcement: Former Polycom Owner Faked Expense Reports
Meanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
Royal Alliance Adds $600M Group With 33 Reps
Also, Securities America welcomes back a $100 million team from LPL Financial.
Several States Looking Into Required Pension Programs
Millions of individuals are at risk for not having enough money to maintain their standard of living in retirement.
BrightScope’s 10 Most Influential Advisors on Social Media: 2015
Want to build your social media presence? These advisors know how it's done.
FPA’s Advocacy Push: States Today, Capitol Hill Tomorrow
With membership stable and retention strong, the Financial Planning Association is holding state advocacy days in runup to Congressional advocacy days.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
America Ranks 19th on New Global Retirement Security Index
Americans like to consider themselves first in just about everything, so news that the U.S. ranks 19th in retirement security may come as a disappointment.
Christie Seeks to Roll Back Pension Payments
New Jersey Governor Chris Christie's move comes a day after a judge said he broke state law by withholding $1.6 billion from the retirement system.
Lockheed to Pay $62 Million to End Worker Pension Lawsuit
Employees and retirees say the defense firm charged them “unreasonable and excessive” fees on retirement plans.
New Hire Roundup: Securities America Promotes 7
Meanwhile, financial data aggregation firm CircleBlack appointed Bill Bartzak and Michael Castellano to its board of directors.