SEC Enforcement: SEC Busts Scheme Involving Stock Tips on Napkins
Also in enforcement, the SEC fined Lions Gate Entertainment and froze assets of the promoter of a microcap stock scalping scheme.
The Sad Case of Mark Spangler
The ex-NAPFA chairman, sentenced to 16 years in prison, is not the Spangler I know, but there's a lesson to be learned from his actions.
Former NAPFA Chairman Mark Spangler Sentenced to 16 Years in Prison
Spangler was convicted of fraud and money laundering; the long sentence reflects his lack of remorse, the judge reportedly said.
The Buzz, the Cloud and Product Intros: 2014 T3 Advisor Tech Conference
We may have reached a turning point where advisor tech decisions are less about software and more about navigating a patchwork of integrations.
Good Times? Then ‘Rebalance’ HNW Clients’ Insurance Coverage
In this period of relative calm, financially speaking, review clients’ insurance policy coverage terms, conditions and, especially, financial limits.
Payrolls Rise Less Than Forecast; Jobless Rate Drops to 6.7%
December job growth likely muted by weather as unemployment rate falls to lowest since October 2008.
Undervalued Europe Offers Great Investment Picks for 2014
Europe presents many untapped opportunities in 2014 for fund managers who specialize in this region.
4 Big Trends You Can’t Ignore
The future always presents challenges, but also opportunities for those who are prepared.
Straight Talk on Straight-Through Processing
Pay no attention to that man behind the curtain. Try if you like, but David Fetter makes it exceedingly difficult.
BMO Global Asset Management, FIS Align to Offer Trust, Custody Platform
BMO Global Asset Management and global technology firm FIS have formed a strategic alliance with California-based Farmers and Merchants Trust Co.