SEC, FINRA Enforcement Roundup: FBI Hunts Fugitive Advisor
In recent enforcement actions, an advisor on the lam who defrauded clients of nearly $40 million had his assets frozen by the SEC, and FINRA launched a pilot program for large arbitration cases.
Guggenheim Partners Lifts Out Rydex|SGI to Form $119B Asset Management Firm
Guggenheim Investments will offer equity, alternatives and fixed income investing options through a range of vehicles; Rydex CEO Richard Goldman will become COO of new firm.
The ETF Parent
"There are few cases," Edgar Allen Poe once wrote, "in which mere popularity should be considered a proper test of merits." That's the sort of...