FPA Honors Advisors for Work With Sick, Needy
The FPA recognizes two advisors, one for his work with the underserved Latino community and another for his work with cancer patients.
New Hire Roundup: FSI Names Valerie Brown, Others to Key Posts
Execs of Cetera, Raymond James, Cambridge and First Allied will take key roles at FSI. Meanwhile, a Vanguard fund manager resigns.
SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts Flop
An end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
10 Best Cities for Jobs in Financial Services: 2013
A mix of big and small metropolitan areas make the grade on Accounting Principals’ annual list.
SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy Home
The SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.
Loss of Tax-Exempt Status Could Hurt Banks With Muni Exposure
Meredith Whitney’s warnings about a wave of bankruptcies two years ago didn’t kill munis, but will ending their tax-exempt status push these securities over the fiscal cliff?
Sandy Rips Through East Coast: The Aftermath
Some coastal areas saw record storm-surge flooding, while strong winds knocked out power to more than 7 million customers in 15 states.
New Hire Roundup: U.S. Bank Names Jeppson CIO of Private Client Group
This week in new hires, Mary Martuscelli joined The Private Client Reserve as west region president, and Moss Adams announced a transition in leadership.
New Hire Roundup: TD Ameritrade Institutional Adds Dario
Also this week in new hires, Joseph Nader joined Wescott Financial Advisory Group; Will Proctor went to a new spot at Neuberger Berman; and more.
6 U.S. Cities That Fell Off the Fiscal Cliff—and Survived
AdvisorOne looks at six municipalities that filed for bankruptcy but climbed their way back to solvency.