SEC, FINRA Enforcement: Radio Personality Fined Over ‘Buckets of Money’
Among other recent enforcement actions was an account freeze in an insider trading case involving a leather bag maker turned biomed developer.
M&A Roundup: United Capital Acquires Atlanta-Based PPA Advisors
In other M&A news, Envestnet completed its acquisition of Prudential WMS, and Madison Dearborn Partners completed its NFP deal.
Tony Davidow, ‘Equal Weight Evangelist,’ Brings His Message to Schwab
Shortly after hiring Tony Davidow as its alternative beta and asset allocation strategist, Schwab filed regulatory papers for a lineup of ETFs that will use fundamental indexes.
SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother
Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.
New Hire Roundup: Lincoln Financial Advisors Appoints Joseph Gaeckle
This week in new hires, Joseph Gaeckle was appointed managing principal at Lincoln Financial Advisors, and Jeff Conway was named to lead a data analytics group at State Street.
Junk Bond Risk Gives Actively Managed ETFs a Boost
As ETF investors wake up to the fact that higher interest rates wouldn’t be good for their bond investments, they're seeking help from active managers in the high-yield junk space.
SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged
Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...
2012 Advisor Hall of Fame
Welcome to Research magazine’s Advisor Hall of Fame, now in its 22nd year.
8 Events That Closed or Shook the NYSE
Sometimes the events shut the market, other times trading continued in the face of tragedy.
PIMCO’s El-Erian Warns on Small-Business Hit From Hurricane Sandy
El-Erian pinpoints four Frankenstorm outcomes—some of them positive, some of them negative, and with one big question mark from Congress.