New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
Starting Over When a Nest Egg is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
Former PIMCO Parent Pacific Life Moves Accounts to Janus
Pacific Life is moving some money to Bill Gross’ new firm, Janus, which said the decision pre-dated Gross’ exit.
Big Reg Charge Slashes LPL’s Q3 Earnings Forecast
One analyst says LPL's "inability to guide effectively on expenses," particularly regulatory ones, is a "recurring problem."
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
Top 10 U.S. Public Pensions by Private Equity Investments and Returns
A new study finds private equity is public pensions’ top-performing asset class.