IAA’s Barr to Replace Tittsworth as President, CEO
Karen Barr will become the IAA's new president and CEO, replacing David Tittsworth, who has led the association since 1996.
SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
Thomas Giachetti, Stark & Stark’s Legal Celebrity: The 2014 IA 25 Profile
Tim Welsh of Nexus Strategy likes to call Giachetti the only “celebrity securities attorney,” but Giachetti says he “never wanted to be a lawyer.”
FINRA Enforcement: Arbitrator Dismissed for Phony Credentials
In addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
The Truth About Insurance Brokers Who Sell Annuities
Do insurance brokers objectively read annuity prospectuses and assess them in the same way fiduciary advisors do, or are they just selling a product?
SEC Names Goodman National Associate Director of BD Exams
The SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
Wealth Management for Wild Markets
Commonwealth Financial Network’s Gavin Morrissey takes a diligent, but not necessarily conservative, approach.
SEC Names Jarcho Associate Exam Director for Advisors
She will oversee a staff of 450 lawyers, accountants and examiners responsible for inspections of U.S.-registered advisors
LPL Names Ex-SEC Enforcer Head of Legal, Government Relations
David Bergers, former SEC deputy director of enforcement, will be general counsel and lead LPL's legal and government relations efforts.
FINRA Names Its First EVP of Regulatory Ops
FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.