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.”
DOL Fiduciary Redraft Would Kill Many Small-Biz Retirement Plans: Survey
Thirty percent of small businesses say it's “at least somewhat likely” they will eliminate employee retirement plans under DOL's proposal, a Greenwald survey found.
Texting and Secure Portals: How Savvy Family Offices Talk to Clients
To efficiently and securely communicate with clients at all asset levels, especially during crises, take advantage of technology, like the best family offices do.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Fiduciary Debate Turns to Impact on Investors
The latest debate over whether the SEC and the Department of Labor should issue fiduciary rules this year recently turned to whether investors could be harmed by DOL's rulemaking, or harmed by the lack of such a rulemaking by the SEC.
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: Sutherland
An SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
New Hire Roundup: BrightScope Names Riggio Its First Chief Revenue Officer
Also, Pacific Life announced changes in its sales organization, and Edmond Markel joined Hennion & Walsh.
DOL Fiduciary Plan Could Hurt Workers Changing Jobs: Study
The DOL fiduciary proposal could lead more workers, particularly lower earners, to cash out their retirement plans by barring them from advice, Quantria Strategies says.
More Money, More (Tax) Problems: How HNWs Can Reduce Their Tax Bills
Estate planning attorney Scott Squillace talks to ThinkAdvisor about how HNW clients can minimize taxes through charitable giving, loss harvesting and other strategies.
SEC Enforcement: SEC Busts Scheme Involving Stock Tips on Napkins
Also in enforcement, the SEC fined Lions Gate Entertainment and froze assets of the promoter of a microcap stock scalping scheme.