NEXT Financial Seen as Ripe for Schorsch’s Next Big Buy
An industry expert says the rep-owned IBD could be next in the real-estate magnate’s buying spree.
Top 10 Wall Street Crooks: Insider Trading
Using confidential information to make a mint is nothing new. Here are 10 that carried on that fine Wall Street tradition.
How to Get Paid for Retirement-Plan Advice: Pretax Dollars
If you’re giving advice to an individual company retirement plan, you can get paid directly from the Self Directed Brokerage Account option.
E&O Insurance: Cost and Deductibles Skyrocket
The days of $1,500 errors and omissions insurance with a $5,000 deductible are quickly coming to an end.
Hybrid Firms: What Are You Getting for Your Pay Cut?
"We’re willing to be in the trenches with our advisors," says Stratos CEO Jeffrey Concepcion, who recently helped an advisor win a $35 million account ...
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.
New Hire Roundup: Putnam Names New GAA Leadership Team
This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.
SEC Names Acting, Deputy Directors of Enforcement
The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.
New Hire Roundup: CFP Board Announces Chair Appointments
This week in new hires, John Byrne and Bryan Hissong returned to Prudential Retirement, and Jac McLean was named head of distribution at Hartford Mutual Funds.
New Hire Roundup: James Hanna Joins Genworth; Morningstar CFO Departs
This week in new hires, Genworth hires a new CTO; Morningstar announced changes in its senior management; and FSI hired Kathryn Anderson and added 500 new advisor members.