New Hire Roundup: Senate Confirms Social Security Advisory Board Members
Meanwhile, Mike DiCenso joined Mesirow Financial as managing director and head of national sales in its investment strategies division.
Mexico Energy Reform Opens New Investment Possibilities in Oil, Gas and Beyond
International oil companies and foreign investors are excited by the huge step Mexico has taken to open up its energy sector to private participation.
FINRA Arbitration Head Fienberg to Step Down
Linda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
ERISA’s Midlife Crisis
On ERISA's 40th birthday, a growing chorus of voices say the landmark retirement income security law needs an overhaul.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
FINRA Fines on Pace to Approach Financial Crisis Levels, Led by ‘Supersized’ Fines
Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
Financial Engines Lawsuit Could Spark Other Robo-Advisor Suits
Financial institutions that offer computer-based advice, or are considering it, should pay close attention to the Financial Engines case.
Whistleblowers Abroad Not Protected Under Dodd-Frank, Court Rules
A federal appeals court dismissed a case brought by a whistleblower in China, saying Dodd-Frank's anti-retaliation rules didn't apply overseas.
CFP Board Names Votava 2015 Chairman-Elect
G. Joseph Votava Jr. is currently CEO of Seneca Financial Advisors LLC, which has offices in Rochester, N.Y., and Washington.
Battered Morgan Stanley Breakaway Advisor Fights Back
Breakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and “painted” his compliance record when he tried to leave.