Top 10 Metro Areas With Highest Pay for Advisors: 2014
ThinkAdvisor used Bureau of Labor Statistics data to find the metro regions with the highest financial advisor salaries. Some are off the beaten path.
New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
Tiger 21 Celebrates Founding With 260 Ultra-Wealthy Members
Tiger 21, the peer-to-peer investor group for ultra-wealthy investors, is celebrating the 15th anniversary of its founding in New York this spring.
Obama Pushes for Student Loan Bill With Tax on Wealthy
Senate will vote Wednesday on Sen. Elizabeth Warren’s student loan refinancing bill that will be paid for with tax on HNW individuals.
High-Speed Trading Rules Coming From SEC, White Says
The SEC chief unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
SEC, DOL Enforcement: Appeals Court Backs SEC in Citigroup Case
The SEC may seek settlements without being obligated to require admissions of wrongdoing, the court found. Meanwhile, DOL fined GreatBanc Trust.
New Hire Roundup: Curian Capital Names Czaicki CIO
Also, the SEC brought in Stephanie Avakian as deputy director of enforcement.
Time to Rein In Rollovers?
If you’ve been paying attention over the past year, you’ve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
Nothing Sells Like Team Spirit at MetLife
MetLife Solutions Group says team selling has provided its advisors three benefits: Clients get holistic planning, and advisors increase business and stem losses.
SEC Enforcement: Advisor Barred for Hiding Astrology-Based Investment Strategy
Meanwhile, the SEC charged a California-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered.