How to Connect With (and Keep) Female Clients: Kathleen Kingsbury
Advisor coach and former therapist Kathleen Burns Kingsbury talks to ThinkAdvisor about the gender differences many advisors don't understand.
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading Arrest
We present for your reading pleasure: the worst way to insider trade.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
SEC Cracks Down on 19 Firms, 1 Trader for Short Selling Prior to Stock Offerings
An SEC dragnet of short sellers has hauled in 19 firms and one trader, costing the violators $9 million in disgorgement, interest and penalties.
Calpers’ Hedge Fund Exit Stemmed From Challenge to Expand Assets
Pension plan's decision to divest $4 billion from hedge funds came after officials concluded the program couldn’t be expanded enough to justify the costs.
SEC Enforcement: Balmy Belize No Refuge for Stock Scammers
In another action, a Massachusetts-based biotech company and its former CEO have been charged with defrauding investors
12 Best States for Adjusted Advisor Pay
Low cost of living often offsets lower advisor pay in some states, while in other states high pay offsets high cost of living.
F-Squared Investments Says Regulators Consider Civil Action
F-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
New Hire Roundup: Needleman Named to CFPB Advisory Board
Meanwhile, Dave Rau will head the trust tax group at U.S. Bank Wealth Management.
15 Worst Cities for Retirees
Looking for a place to retire? Put these cities at the bottom of your list, WalletHub says.