New Hire Roundup: Charlson to Head Morningstar Alternative Funds Research
Meanwhile, the American Benefits Council names new board members and officers, and CFPB adds experts to senior posts.
New Hire Roundup: Altegris Names Jack Rivkin CIO
Meanwhile, Convergent welcomed Richard Wells and the Senate Finance Committee approved three nominees for federal positions.
$900M UBS Group Moves to Dynasty; LPL Team Jumps to Raymond James
The New York-based team going independent includes four former wirehouse advisors, while the LPL group has three reps at $310 million in assets.
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.