SEC Enforcement: Former Polycom Owner Faked Expense Reports
Meanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
Riskalyze’s Klein: ‘We Can’t Out-Robo the Robo-Advisors’
Riskalyze CEO Aaron Klein discusses what he says is a better way for advisors to stay competitive.
SEC Enforcement: H.D. Vest Failed to Monitor Reps’ Outside Activities
Meanwhile, the SEC froze the assets of a fund manager charged with running a Twitter-related Ponzi scheme using money from a fake Uber-related fund.
3 Tips for Using Leveraged ETFs
Before jumping in, advisors and clients should do some homework on these tricky investments.
Is Investing in Movies a Good Investment Strategy?
Wade Bradley claims his Media Society has cracked the code of money-making in the risky world of film investing.
The Unsinkable Sallie Krawcheck
Is Krawcheck weighing a robo-advisor offering? She remains tight-lipped on her plans, but tells ThinkAdvisor in a wide-ranging interview, "I'm not done yet!"
Cambridge’s Continuity Partners Group Welcomes First RIA
Gould Asset Management, with $450 million in AUM, joins 168 Cambridge reps in advisor succession group.
New Hire Roundup: Paul Smith Named CEO of CFA Institute
Meanwhile, Nikko Asset Management has hired four executives
New Hire Roundup: Morningstar Shuffles Leadership
Meanwhile, the SEC has appointed a new equity market structure committee, which includes FINRA CEO Richard Ketchum.
Asian Venture Capital Surged in 2014: Preqin
Globally, there was an 11% drop in the number of financings that took place compared with 2013, but a 58% rise in the aggregate value of deals.