Commonwealth Financial Hosts Yearly Event, Enhances Tech Tools
The indie broker-dealer draws some 900 of its 1,500 affiliated reps to the Orlando confab.
Raymond James Highlights Women’s Achievements, Tech Updates
The firm attracts a record number of attendees, including 29 prospective advisors, to its 20th annual event for female reps.
Mariner Holdings Acquires Flyover Capital
Mariner's newest acquisition, Flyover Capital, will provide access to investment opportunities in early-stage technology companies in the Midwest.
SEC Too Lax on Accountants, Commissioner Says
The growing SEC practice of settling financial reporting cases without fraud charges or suspensions is a "troubling trend," Commissioner Luis Aguilar says.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
In another action, an investor relations firms exec was charged with insider trading.
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
New Hire Roundup: Great-West Financial Names Manello CFO
Also in new hires, Treasury's Office of Financial Research added 11 new members to its financial research advisory committee.
Kenya’s Eurobond, Rwanda’s ‘Enthusiasm’ Seen as Big Investment Opportunities
Portfolio manager Peter Thoms says that young Rwandans are "determined to make something of their country" and that Kenya is aching for foreign cash.
Self-Directed Investors Increased ETF Allocations
Self-directed investors are opening up to ETFs in their retirement accounts, an analysis by Schwab found.
The Tech Revolution's Disruptions Begin
Keep an eye on tech-driven socioeconomic tensions.