| 单词 | investment adviser |
| 例句 | Although his prominence may have peaked during the Carter administration, the former “M*A*S*H” star has become many things since: investment adviser, Hollywood agent, real estate developer. Why do cable news shows use so many celebrity ‘experts’? 2014-12-23T05:00:00Z Whether you deal with a broker, an investment adviser or place your trades through an online brokerage, insist that they route them for the best execution of the trade. ‘Flash Boys’: skimming fortunes on a rigged Wall Street 2014-04-04T20:58:57Z An investment adviser featured in best-seller "The Big Short" failed to persuade a federal appeals court to shut down a U.S. 'Big Short' adviser loses appeal in SEC case 2016-12-02T05:00:00Z Ruderman was sentenced to 10 years in federal prison earlier this year after pleading guilty to two counts of wire fraud, two counts of investment adviser fraud and willful failure to file taxes. Tobey Maguire, others are sued over poker winnings 2011-06-23T10:35:08Z Years before, he explained in interviews, his father had placed a family nest egg in the hands of a young investment adviser named Warren E. Buffett. Norton Dodge, 84, Economics Professor and Art Collector, Dies 2011-11-12T06:23:51Z “The Ouija board is not a certified investment adviser. User assumes all financial risks.” Style Invitational Week 1292: Golly gosh, it’s Limerixicon XV 2018-08-09T04:00:00Z The bride’s father is an investment adviser in New York. Chloe Zale, Matthew Sternberg 2018-07-22T04:00:00Z Their partnership itself crosses cultural borders; WuDunn grew up on Manhattan’s Upper West Side and is now an investment adviser at a New York securities firm. Chronicling a Community, and a Country, in Economic Crisis 2020-01-10T05:00:00Z As an investment adviser, he’s been mediocre at best. Review | Joshua Ferris pokes wicked fun at the suburban patriarch in ‘A Calling for Charlie Barnes’ 2021-09-23T04:00:00Z On its face, the timing of the investment deals — which Loeffler said were made without her knowledge by her investment advisers — have raised suspicions. The young and eventful Senate career of wealthy Georgia businesswoman Kelly Loeffler 2020-04-03T04:00:00Z The groom’s mother retired as the general counsel from Renaissance Technologies, a quantitative investment adviser in Manhattan. Sarah Humphreville, Andrew Porter 2018-06-24T04:00:00Z Moscow's purchases are expected to reflect a discount of at least 50% on the market value of the company stock, the investment advisers said. Western investors spooked as Moscow mulls compulsory share purchase plan 2023-11-16T05:00:00Z In July, the chairman announced his team would propose rules to govern the use of predictive analytics and other tech used by broker-dealers and investment advisers. SEC chairman forecasts AI-fueled financial crisis within a decade 2023-10-16T04:00:00Z The SEC later demanded that the investment advisers hand over the messages, the sources said. SEC collects Wall Street's private messages as WhatsApp probe escalates 2023-09-25T04:00:00Z U.S. securities regulators on Tuesday charged a small Westchester County, N.Y., firm that managed billions in hedge fund and private equity investments for the Russian oligarch Roman Abramovich with operating as an unregistered investment adviser. Regulators Charge Money Manager Tied to Russian Oligarch 2023-09-19T04:00:00Z One of the resolutions, filed by Massachusetts-based investment adviser Arjuna Capital, called on Nike to provide more data on pay equity for female and minority employees. Nike investors reject pay equity, human rights proposals 2023-09-12T04:00:00Z Securities and Exchange Commission on Tuesday said it has charged five investment adviser firms for failing to meet requirements related to the safekeeping of client assets. US securities regulator charges 5 investment advisers with custody rule violations 2023-09-05T04:00:00Z Paxton is accused of making false statements to the State Securities Board in connection with its investigation of his failure to register with the board as an investment adviser required by state law. A look at the 20 articles of impeachment against Texas Attorney General Ken Paxton 2023-09-04T04:00:00Z The agency is ignoring important differences in investment advisers' recordkeeping requirements, said Jennifer Han, the MFA's executive vice president and chief counsel. SEC collects Wall Street's private messages as WhatsApp probe escalates 2023-09-25T04:00:00Z Massachusetts-based investment adviser Arjuna Capital, a regular submitter of shareholder resolutions, filed the proposal with the Securities and Exchange Commission in late July. Nike shareholders push for more reporting on pay equity 2023-08-24T04:00:00Z He said ads or fake profiles on Facebook frequently purport to represent reputable financial and investment advisers offering high profits, luring people into scams in which they lose their money. Thailand threatening to shut down Facebook, alleging it doesn’t screen ads well enough 2023-08-22T04:00:00Z Federal regulators continued their crackdown against employees of Wall Street firms using private messaging apps to communicate, with 11 brokerage firms and investment advisers agreeing Tuesday to pay $549 million in fines. Banks Fined $549 Million Over Use of WhatsApp and Other Messaging Apps 2023-08-08T04:00:00Z According to a regulatory agenda, the SEC is also planning to issue a similar proposal governing the use of AI by investment advisers. US SEC adopts new cyber rule, unveils brokerage AI proposal 2023-07-26T04:00:00Z While Reuters and other media have reported that the SEC's "off-channel" communication probe has expanded to investment advisers, its move to review thousands of their staff messages has not previously been reported. SEC collects Wall Street's private messages as WhatsApp probe escalates 2023-09-25T04:00:00Z A: If you have an account at a broker/dealer or an investment adviser, create a trusted contact. Insider Q&A: Head of securities regulators’ group on how to look out for investment scams 2023-07-17T04:00:00Z In Wyoming, Secretary of State Chuck Gray has proposed ESG disclosure rules for investment advisers similar to Missouri’s. Analysis-New anti-ESG rule in Missouri offers US Republicans another path away from 'wokeness' 2023-07-10T04:00:00Z One of Angela Paxton’s first moves as a state lawmaker was filing a bill to give the attorney general’s office new powers over licensing exemptions for investment advisers. Juror and spouse: Texas state Sen. Angela Paxton could vote in trial on husband’s impeachment 2023-05-30T04:00:00Z In a third vote also scheduled for Wednesday, the SEC is to decide whether to propose changing rules that exempt some online investment advisers from registering under the Investment Advisers Act of 1940. US SEC adopts new cyber rule, unveils brokerage AI proposal 2023-07-26T04:00:00Z Brokers, swaps dealers and investment advisers registered with the agencies have recordkeeping requirements. HSBC, Scotiabank hit with US penalties over employees' use of personal devices 2023-05-11T04:00:00Z The case could have broader implications for assets that do not fit in to existing regulations preventing investment advisers, brokers and others from trading on material nonpublic information, legal experts have said. Ex-OpenSea manager convicted in NFT insider trading case 2023-05-03T04:00:00Z He was also the key architect behind Morgan Stanley's purchase of Smith Barney, a brokerage and investment adviser that became a cornerstone of the bank's wealth management arm. Morgan Stanley's dealmaking CEO Gorman signals more transactions to come 2023-04-19T04:00:00Z Ken Paxton was indicted in 2015 for failing to register as an investment adviser while raising money for a technology startup where he was invested and being paid. Juror and spouse: Texas state Sen. Angela Paxton could vote in trial on husband’s impeachment 2023-05-30T04:00:00Z Scammers then funnel investments to cryptocurrency platforms or co-conspirators posing as investment advisers or customer service personnel. Feds seize 6 crypto accounts linked to pig-butchering scam worth $112 million 2023-04-04T04:00:00Z Arjuna Capital, a Massachusetts-based investment adviser and frequent filer of shareholder resolutions, said it has withdrawn its proposal from going to a vote at the company’s annual meeting this spring. US pharmacy chain CVS to bolster customer privacy protection after shareholder push 2023-03-28T04:00:00Z Until then, "liquidity is probably going to get worse and worse", said Joseph Edwards, investment adviser at Enigma Securities. Cryptoverse: Buoyant bitcoin's losing its liquidity 2023-03-28T04:00:00Z “We shouldn’t expect much in the way of rabbits or hats in this budget,” said Sarah Coles, head of personal finance at the investment adviser Hargreaves Lansdown. UK Treasury chief seeks drama-free budget day amid strikes 2023-03-15T04:00:00Z “That rule stepped between workers and the investment advisers that they have trusted to protect their hard-earning life savings,” the statement said. Congress Moves to Block Investment Rule, Setting Up Veto Fight 2023-03-01T05:00:00Z Securities and Exchange Commission investigation into record keeping of electronic communications of its investment advisers, according to a filing on Friday. BlackRock cooperating with SEC probe of investment advisers' communications 2023-02-25T05:00:00Z In the same presentation, Allianz lawyers argued that the guilty plea that Allianz eventually agreed to for the U.S. business was "a death penalty for a registered investment adviser". Exclusive: After multi-billion U.S. fund collapse, Germany's Allianz eschews risk for safe bonds 2023-02-14T05:00:00Z "For the most part, people are more confident than they were a month ago," said Joseph Edwards, investment adviser at Enigma Securities. Cryptoverse: Big investors edge back to bitcoin 2023-01-31T05:00:00Z Securities and Exchange Commission is probing registered investment advisers over whether they are meeting rules around custody of client crypto assets, three sources with knowledge of the inquiry told Reuters. U.S. securities regulator probes investment advisers over crypto custody -sources 2023-01-27T05:00:00Z Go to Investor.gov and search for a firm or an individual investment adviser’s registration status and background, including any disciplinary actions. Advice | How to prepare financially in case of a debt ceiling crash 2023-01-20T05:00:00Z He was the driving force behind Morgan Stanley's decision to acquire brokerage firm and investment adviser Smith Barney, which helped make wealth management the cornerstone of his plan to stabilize revenue. Morgan Stanley lowers CEO Gorman's 2022 compensation to $31.5 mln 2023-01-20T05:00:00Z Barr is working on a bill, the ESG Act, that would make investment advisers and pension plans put their beneficiaries’ pecuniary interests first unless they say otherwise. Republicans are coming for investing that prioritizes environmental, social goals 2022-12-16T05:00:00Z Fund managers and investment advisers are returning to battered Asian bond markets, betting on a rebound in 2023, though with a wary eye on the risks of defaults and a global recession. Investors see returns in depressed Asian dollar bonds, but risks too 2022-12-14T05:00:00Z Securities and Exchange Commission is probing registered investment advisers over whether they are meeting rules around custody of client crypto assets, three sources with knowledge of the inquiry told Reuters. U.S. securities regulator probes investment advisers over crypto custody -sources 2023-01-27T05:00:00Z Don’t forget to check with your state securities regulator to research brokers and investment advisers. Advice | How to prepare financially in case of a debt ceiling crash 2023-01-20T05:00:00Z We matched her with Keith, a 52-year-old investment adviser, whose neighbor sent him a link to the Date Lab application and encouraged him to apply. Date Lab: He guessed that she’s ‘totally an introvert’ 2022-11-10T05:00:00Z Matt Chancey, an investment adviser in Tampa, Florida, said that certainly makes sense. Going to win $1.2B Powerball prize? Consider not taking cash 2022-11-02T04:00:00Z “Leverage sounds great on the upside, but investors forget that it cuts both ways,” said Wes Crill, head of investment strategists at the investment adviser Dimensional Fund Advisors. New E.T.F.s Turn the Funds’ Virtue of Low Risk on Its Head 2022-10-15T04:00:00Z SEC enforcement staff are asking investment advisers for details around what the firms did to assess custody for platforms including FTX, one of the sources said. U.S. securities regulator probes investment advisers over crypto custody -sources 2023-01-27T05:00:00Z By law, an investment adviser who has a “fiduciary duty” must act in the best interest of clients. Advice | How to prepare financially in case of a debt ceiling crash 2023-01-20T05:00:00Z "Since I assumed office, I have ensured that my assets were held in managed accounts that neither I nor my personal investment adviser had the ability to direct," Bostic wrote. Bostic acknowledges accidental trades that violated Fed ethics code 2022-10-14T04:00:00Z “That investment adviser will get fees off managing that money.” Going to win $1.2B Powerball prize? Consider not taking cash 2022-11-02T04:00:00Z "I think we are seeing the rate hikes really in full effect now," said Allan Small, senior investment adviser at the Allan Small Financial Group with iA Private Wealth. TSX hits 19-month low as global recession risk weighs 2022-10-11T04:00:00Z By law, investment advisers cannot have custody of client funds or securities if they do not meet certain requirements to protect the assets. U.S. securities regulator probes investment advisers over crypto custody -sources 2023-01-27T05:00:00Z Like broker-dealers, investment companies and registered investment advisers are required by the SEC to maintain records of business communications. SEC scrutiny into Wall Street communications widens to investment funds - sources 2022-10-11T04:00:00Z But in a letter commenting on the S.E.C.’s proposed investment adviser rule, BlackRock raised concern that the proposal could lead “to the disclosure of proprietary information” surrounding a money manager’s ESG investment process. Cracking Down on a Wall Street Trend: E.S.G. Makeovers 2022-09-17T04:00:00Z "Bulk commodities will be dependent on the impact of Chinese stimulus and the success of this will be reflected in the major miners," said John Milroy, an investment adviser at Ord Minnett. Asian stocks rise on China stimulus, upcoming rate action 2022-09-06T04:00:00Z Williams, a regional vice president and real estate consultant in New York City with Wealth Enhancement Group, a registered investment adviser. When to lock in your mortgage rate 2022-08-10T04:00:00Z It is not registered as an investment adviser with U.S. regulators. Federal Authorities Investigate Firm Linked to Roman Abramovich 2022-08-09T04:00:00Z In a world of dry financial advice, BitBoy’s accounts are rife with references, memes and jokes — not many investment advisers hold competitions for the best NFTs issued by a fast-food chain. The crypto boom runs on hype men like ‘BitBoy,’ an untrained Atlanta YouTuber 2022-07-24T04:00:00Z But she said the S.E.C. was right to expect investment advisers to be consistent about the standards they claim to be using. Cracking Down on a Wall Street Trend: E.S.G. Makeovers 2022-09-17T04:00:00Z While a bounce in stocks certainly seems due, investment advisers say a lasting recovery is unlikely for now. Stock Market Drop Accelerated as Recession Seemed More Likely 2022-07-15T04:00:00Z Sullivan has introduced legislation that would require investment advisers with more than 1 percent of a fund’s shares to vote only upon the instruction of the fund’s investors, not at their own discretion. Republicans threaten Wall Street over climate positions 2022-07-12T04:00:00Z That matters to the players and their investment advisers, regardless of how dirty the money might be. Perspective | LIV Golf’s wealth is absurd. So is its product. 2022-07-01T04:00:00Z He uses delays to hit 10,000 steps, sometimes while making calls for his other job as an investment adviser. Stuck at an airport? Frequent fliers have 10 suggestions. 2022-06-16T04:00:00Z I view it as providing a more robust set of material data points from which an investment adviser can make a decision. The Rush to E.S.G., With or Without Elon Musk 2022-06-18T04:00:00Z The once-prominent investment adviser is on the FBI’s Most Wanted list, accused of bilking his clients out of millions of dollars. Georgia investment adviser on the run ordered to pay $12M 2022-06-08T04:00:00Z The big three investment advisers — BlackRock, Vanguard, and State Street — manage more than $20 trillion in combined assets and control around 25 percent of all votes cast at annual meetings. Republicans threaten Wall Street over climate positions 2022-07-12T04:00:00Z Business consultant Perry Johnson, former Detroit police Chief James Craig and investment adviser Michael Markey sued to get on the ballot but failed last week. Republican’s appeal to get on gubernatorial ballot denied by Michigan Supreme Court 2022-06-07T04:00:00Z “There’s no certainty, especially in the short term,” said Victoria Greene, chief investment officer at G Squared Private Wealth, an investment adviser. Wall Street’s Losing Streak Ends, but Uncertainty That Drove It Lingers 2022-05-31T04:00:00Z Ms. Wright, a former investment adviser, established it three years after divorcing her husband of 14 years to raise their sons alone. Experts see spike in divorce, single parenting amid COVID stress 2022-05-20T04:00:00Z S. R. Srinivasan, an investment adviser, said the company is one of India’s most trusted brands. India’s state insurance company to list in biggest IPO 2022-05-03T04:00:00Z Erik Gordon, a law and business professor at the University of Michigan, said it was time that large family offices be treated like all other investment advisers and subject to S.E.C. oversight, audits and inspections. Archegos stock manipulation scheme was ‘historic,’ U.S. attorney says. 2022-04-27T04:00:00Z Betsy Micklem, a retired investment adviser, and her husband, Mark, a retired investment banker, both 63, moved into a Robinson Landing condo a little more than a year ago after some serious downsizing. Robinson Landing nears the end of the line in Alexandria, Va. 2022-04-12T04:00:00Z He took over management of the $3 million Fidelity Fund in 1943 and three years later founded Fidelity Management & Research Co. to act as its investment adviser. Ned Johnson, who built Fidelity Investments into a juggernaut, dies at 91 2022-03-24T04:00:00Z The key was that every lawyer, corporate director, hedge fund manager and investment adviser involved in the process could honestly say he or she wasn’t working directly for Mr. Abramovich. How One Oligarch Used Shell Companies and Wall Street Ties to Invest in the U.S. 2022-03-21T04:00:00Z The proposed regulation would have applied to most registered investment advisers who managed more than $100 million in assets. The search for oligarchs’ wealth in U.S. is hindered by investment loopholes 2022-03-16T04:00:00Z “If Archegos doesn’t lead to bringing large family offices into investment adviser act regulation, nothing will, short of a Martian invasion,” Mr. Gordon said. Archegos stock manipulation scheme was ‘historic,’ U.S. attorney says. 2022-04-27T04:00:00Z Matt Thompson, managing partner at Chicago-based investment adviser Thompson Capital Management, which specializes in volatility trading, said Barclays’ move could have been prompted by a lack of liquidity in the market. Barclays suspends sales of two products linked to oil, volatility 2022-03-14T04:00:00Z In the meantime, lawyers and investment advisers are coming under intense scrutiny for work that weeks earlier was occurring almost entirely below the public radar. How Western Firms Quietly Enabled Russian Oligarchs 2022-03-09T05:00:00Z And on Capitol Hill, lawmakers are pushing a bill, known as the Enablers Act, that would require investment advisers to identify and more carefully vet their customers. How One Oligarch Used Shell Companies and Wall Street Ties to Invest in the U.S. 2022-03-21T04:00:00Z Last fall, a small group of U.S. lawmakers proposed a bill to include art dealers, investment advisers and others under anti-money laundering rules. The search for oligarchs’ wealth in U.S. is hindered by investment loopholes 2022-03-16T04:00:00Z Historically, scalping involved investment advisers who recommended stocks to clients and then quickly sold them. Are Activist Short Sellers Misunderstood? 2022-02-12T05:00:00Z The proposal would also mandate new recordkeeping and contract transparency between broker dealers, investment advisers and their clients. Private fund advisers to spell out fees, performance under new U.S. SEC proposals 2022-02-09T05:00:00Z Lawyers draw up the documents, and then investment advisers run the trust. Don’t Touch. Don’t Even Look. Invest Like Your Senators Should. 2022-02-05T05:00:00Z Some investment advisers expect the Fed to become consistently hawkish. After Another Great Year for Stocks, Peril Lingers 2022-01-14T05:00:00Z The deal included a provision in which Ms. Taylor would refer clients to Stonebridge, though she could also point them to other investment advisers, Mr. Harder said. Britney Spears Felt Trapped. Her Business Manager Benefited. 2021-12-19T05:00:00Z Vincent Kaufmann, chief executive of Swiss investment adviser Ethos, called on Wednesday on Credit Suisse to claw back bonuses paid to managers involved in the various scandals and consider taking legal action against them. Spies and lies: regulators round on Credit Suisse 2021-10-20T04:00:00Z With a number of threats to prosperity becoming harder to ignore, many investment advisers have become less enthusiastic about stocks. Economic and Earnings Concerns Begin to Weigh on Stocks 2021-10-08T04:00:00Z Unfortunately, their offices would not put me in touch with their lawyers or investment advisers to discuss the trusts’ mechanics or either man’s investing philosophy. Don’t Touch. Don’t Even Look. Invest Like Your Senators Should. 2022-02-05T05:00:00Z Other investment advisers also recommend looking for less overpriced market segments, but they differ on where to find them. After Another Great Year for Stocks, Peril Lingers 2022-01-14T05:00:00Z Gallagher falsely claimed to be a licensed investment adviser and promised investors that they would receive guaranteed, risk-free returns ranging from 5 percent to 8 percent a year. Perspective | Covid has meant a cash bonanza for scammers. These people are fighting back against the fraudsters. 2021-10-01T04:00:00Z "The Beijing stock exchange has equal footing with Shanghai and Shenzhen bourses. If it prospers, the three will share the market in tripartite confrontation," wrote Rock Jin, economist and CEO of investment adviser PopEton. China's new stock exchange plans fuel fears of a bourse war 2021-09-03T04:00:00Z The SEC fined eight firms, including broker dealers and investment advisers, over alleged cybersecurity failures that the SEC said allowed hackers to take over email accounts and exposed thousands of customers at each firm. Feds tackle cybercrime with new bans, fines, charges 2021-09-02T04:00:00Z Securities and Exchanges Commission has accused a Georgia investment adviser in a $110 million Ponzi scheme that drew money from more tha 400 investors in 20 states, according to a statement on Wednesday. U.S. charges investment adviser in $110 million ponzi scheme -SEC 2021-08-25T04:00:00Z The suit says Pershing Square Capital should be regarded as an investment adviser with restrictions on its fees. Ackman SPAC hit with investor suit questioning its legality 2021-08-17T04:00:00Z The institute represents mutual funds, their shareholders and investment advisers. In shift, top U.S. fund group backs sustainability disclosure rules 2021-06-07T04:00:00Z The most significant were changes in how the agency carries out inspections of investment advisers and brokerage firms. EXPLAINER: Charmed by Madoff, SEC later tightened its rules 2021-04-14T04:00:00Z The rules for 13F filings apply to “registered investment advisers and exempt reporting advisers that manage accounts on behalf of others, including advisers to separately managed accounts, private funds, mutual funds, and pension plans.” Archegos Left a Sparse Paper Trail for a $10 Billion Firm 2021-04-12T04:00:00Z This bill, sponsored by state Sen. Brett Lindstrom of Omaha, authorizes broker-dealers and investment advisers to place a hold on transactions in cases of suspected financial exploitation of vulnerable adults or senior adults. Editorial Roundup: Nebraska 2021-04-05T04:00:00Z The size of this further stimulus is probably already baked into prices, said Mark Hampton, investment adviser at Hamilton Hindin Greene in Wellington. Asian shares set to edge up, after Wall Street tech rally 2021-03-31T04:00:00Z Veronica Marton, director of client relations at Beech Hill Advisors, an investment adviser, put her 13-year-old daughter into online camp last summer, including one for writing. Summer Camps See Rebound in Interest 2021-03-26T04:00:00Z The 22-person team, housed within the enforcement division, will also scrutinize investment advisers and funds touting sustainable products for so-called “greenwashing” and other compliance issues, the agency said. Analysis: Why Biden's securities regulator faces climate crackdown challenges 2021-03-17T04:00:00Z Bernstein is a neurologist with an MD and a PhD in chemistry who became an investment adviser and author. Review | Why false narratives so often trump reality 2021-02-24T05:00:00Z According to federal prosecutors, Caldwell and Smith, a Shreveport-based investment adviser, used their clout and influence to persuade people to invest about $3.5 million in historical Chinese bonds. Texas megachurch pastor sent to prison for fraud scheme 2021-01-14T05:00:00Z It sent a letter to Intel’s board asking it to retain an investment adviser to evaluate strategic alternatives, including whether it should remain an integrated device manufacturer. Analysis-Intel has few good options as investor demands break-up 2020-12-30T05:00:00Z Vilar was sentenced to nine years in prison after his 2008 conviction on charges including conspiracy and investment adviser, mail and wire fraud. Lawyers seek relief for ‘broken’ convicted philanthropist 2020-12-25T05:00:00Z In another transparency setback, the law also exempts some entities from the disclosure requirements, including domestic investment funds that are advised and operated by a registered investment adviser. Congress bans anonymous shell companies after long campaign by anti-corruption groups 2020-12-11T05:00:00Z Months after taking office in 2015, a county grand jury indicted Paxton on criminal charges of acting as an unregistered investment adviser and securities fraud. Ken Paxton has had Trump’s back. But the Texas attorney general’s latest gambit has failed. 2020-12-11T05:00:00Z “As an investment adviser in charge of taking care of people’s money, I would rather the president would not wade into those waters.” Markets Throw a Welcome Party of Sorts for Biden 2020-11-24T05:00:00Z “Four days in a row is becoming frustrating and quite disruptive,” said Jeremy Sullivan, an investment adviser at brokerage Hamilton Hindin Greene in Christchurch. New Zealand stock exchange disrupted by fourth 'offshore' cyber attack 2020-08-28T04:00:00Z The language — “Regulation Best Interest” — suggests that brokers and investment advisers must work to ensure that your financial interest is served first. SEC’s new ‘best interest’ rule won’t really protect you 2020-07-25T04:00:00Z District Judge Paul Grimm in Greenbelt, Maryland, is scheduled to sentence Carter on Nov. 9 for his guilty plea to wire fraud and investment adviser fraud charges. Ex-financial advisor pleads guilty in $6M fraud scheme 2020-07-20T04:00:00Z Loeffler said her investment adviser made the trade and she didn’t learn of it until after the fact. Senate Ethics Committee dismisses insider trading complaint against Loeffler 2020-06-16T04:00:00Z Arjuna is a Boston-based investment adviser and frequent filer of shareholder resolutions pressing companies - with mixed success - to disclose more data on pay equity. U.S. companies vow to fight racism but face critics on diversity 2020-06-10T04:00:00Z All three senators said that investment advisers had made the trades and they did not find out about them until later. DOJ drops insider-trading probe into senators as another Republican's trades come under scrutiny 2020-05-27T04:00:00Z Feinstein, Loeffler and Inhofe all said their investment advisers made the trades and they didn’t learn of them until after the fact, but Burr had more direct involvement in dumping his stocks, according to reports. Feds end stock trader inquiry into Loeffler, Feinstein but still looking at Burr, sources say 2020-05-26T04:00:00Z He said it was made through his investment adviser. 'Unfair advantage': concerns US lawmakers are using coronavirus briefings to make stock decisions 2020-04-13T04:00:00Z The top U.S. markets watchdog, also granted certain investment funds and investment advisers additional time to hold in-person board meetings and submit other filing requirements, including annual and semi-annual reports. U.S. SEC official urges delay in public comment on agency rule changes 2020-04-03T04:00:00Z Loeffler’s office maintained that the investment advisers regularly execute pre-arranged trading agreements and that the transactions are consistent with the SEC’s regulatory framework and are publicly reported. Loeffler defends trades after reportedly buying stock in company that makes coronavirus protective garments 2020-04-01T04:00:00Z Daniel Wiener, an investment adviser who runs a newsletter for Vanguard investors, said the Fed seemed to be stepping in with necessary moves at a time of political paralysis. Fed alone can’t stop coronavirus selloff, investors say, as stocks tumble again 2020-03-23T04:00:00Z There are a rising number of fixed-index annuities available through registered investment advisers, which some experts said offer a better value. Something Else Troubling Is Going Around: Dubious Investments 2020-03-13T04:00:00Z A Texas megachurch pastor and former spiritual adviser to two U.S. presidents has pleaded guilty to bilking investors out of millions of dollars alongside a Louisiana investment adviser. Pentagon contract linguist in Iraq pleads not guilty to espionage 2020-03-12T04:00:00Z Caldwell’s partner in the fraud, Gregory A. Smith, a Shreveport, Louisiana, investment adviser, pleaded guilty last year to the same charge. Prominent Houston pastor pleads guilty to defrauding elderly investors 2020-03-11T04:00:00Z “Most of the exposure was on the correct side for a move like this,” said Matt Thompson, managing partner at Chicago-based investment adviser Thompson Capital Management, which specializes in investments using VIX instruments. Investors piled into volatility bets before market tumble 2020-02-25T05:00:00Z The pros most likely to be fiduciaries are “certified financial planners” who are also “registered investment advisers.” The Young Person’s Guide to Investing 2020-02-10T05:00:00Z “There’s no question that the ore is there,” said Knoche, a retired stock broker and investment adviser who lives in Arizona. Retiree donates share of Canadian nickel mine to Purdue 2020-02-16T05:00:00Z The Credit Suisse board said it backed Rohner, who has been under pressure from Swiss investment adviser Ethos Foundation to quit. Credit Suisse CEO Tidjane Thiam quits after spying scandal 2020-02-07T05:00:00Z “These defendants used their positions as religious leaders and investment advisers to defraud Louisiana residents – many of whom are elderly and retired,” said Joseph. Prominent Houston pastor pleads guilty to defrauding elderly investors 2020-03-11T04:00:00Z Halbaurer is a senior vice president and investment advisers executive for Fifth Third Bank in Cincinnati, Dayton and northern Kentucky, the council said in a news release. New chairman chosen for Kentucky higher education council 2020-01-27T05:00:00Z The added diversification of equal-weighted funds and the prospect of a reversal of the momentum-driven nature of the current market lead some investment advisers to prefer them. Now, Try Slicing the Stock Market Into Equal Pieces 2020-01-17T05:00:00Z It passed a proposal — in a 3-2 vote — that, if finalized, would grant access to stockbrokers and investment advisers, even if they do not meet the income and wealth thresholds. Opening the door to unicorns invites risk for average investors 2020-01-06T05:00:00Z The combined company also would oversee more than $2 trillion, or 51 percent of the market, of what’s known as custody assets for registered investment advisers. Charles Schwab will acquire TD Ameritrade, creating wealth management ‘Goliath’ with $5 trillion in assets 2019-11-25T05:00:00Z To ensure a fresh supply of victims, Santillo and his confederates bought the businesses — and client lists — of a series of investment advisers and brokerages, prosecutors said. SEC: ‘King Perry’ used Ponzi cash to live like royalty 2019-11-03T04:00:00Z To ensure a fresh supply of victims, Santillo and his confederates bought the businesses - and client lists - of a series of investment advisers and brokerages, prosecutors said. SEC: ‘King Perry’ used Ponzi cash to live like royalty 2019-11-04T05:00:00Z The firm’s other clients include sovereign wealth funds, corporate profit-sharing plans, other investment advisers and charitable organizations. Kenneth Fisher Ruled Investing. Then He Made a Sexist Joke. 2019-10-23T04:00:00Z This idea is already actively enforced in the equity markets, since registered investment advisers need to disclose their positions if they own more than five per cent of a company. How hedge funds profit when big companies like Thomas Cook fail 2019-10-19T04:00:00Z Widening his network of wealthy donors seemed almost like a hobby for Sondland, said David Nierenberg, an investment adviser in Washington state who has known Sondland for more than a decade. ‘Disruptive diplomat’ Gordon Sondland, a key figure in Trump impeachment furor, long coveted ambassadorship 2019-10-14T04:00:00Z Vanguard works to find a group of investment advisers whose skills complement each other. These Investors Prospered by Betting on Unloved Stocks 2019-10-11T04:00:00Z “He very much enjoyed having personal relationships with those in power,” said David Nierenberg, a Washington state investment adviser who has known Sondland for years. Trump envoy set to testify hasn’t always been a Trump backer 2019-10-08T04:00:00Z Estate lawyers and investment advisers are aware of the trend. When you die, what will happen to your pets? | Produced by Advertising Publications 2019-10-03T04:00:00Z Vanguard said in a regulatory filing last month that it would introduce a digital-only investment adviser that cost just 0.15 percent of assets managed. Low-Cost Investing Can’t Get Any Lower Than Free 2019-10-01T04:00:00Z In 1998, he sent a group of investment advisers to the country on his behalf—in violation of the U.S. embargo. The Fight for the Latino Vote in Florida 2019-09-16T04:00:00Z The carve-outs also include doctors, dentists, lawyers, architects, accountants, engineers, insurance agents, investment advisers, direct sellers, real estate agents, hairstylists, barbers, estheticians and electrologists. Uber and Lyft face an existential threat in California — and they’re losing 2019-09-02T04:00:00Z In July, Xinis sentenced 56-year-old investment adviser Dawn Bennett to 20 years in prison for participating in the same fraud scheme. Man gets 30 months in prison for role in $20M Ponzi scheme 2019-08-31T04:00:00Z The non-audit services included corporate secretarial services, payment facilitation, payroll outsourcing and investment adviser services, among others. SEC fines audit firm RSM $950,000 to settle independence violation... 2019-08-27T04:00:00Z The attorney general’s office contends that the family fraudulently removed money from the company and that it needs details from investment advisers and companies connected to the family to show that. New York pursuing Sacklers’ financial records in opioid case 2019-08-16T04:00:00Z Under the rule, investment advisers were required to recommend the "best" product, raising the standard for advice. Why does Trump want son of late Supreme Court justice Antonin Scalia to join his Cabinet? 2019-07-19T04:00:00Z Protections for clients under the new rule are not as stringent as those imposed on investment advisers, which have a “fiduciary” duty, meaning they have to put their clients’ interests above their own. Editorials from around Pennsylvania 2019-06-12T04:00:00Z The rule, for example, does not define what would be considered to be in a client’s best interest, allowing brokers and other investment advisers significant leeway to define it themselves, they say. SEC adopts rules requiring brokers to put customers’ interests above their own. Advocates say it won’t protect consumers. 2019-06-05T04:00:00Z The commission said the changes would help Main Street investors by tightening the standards governing brokers who sell investment products and outlining a fresh interpretation of the duties of investment advisers who provide financial guidance. S.E.C. Adopts New Broker Rules That Consumer Advocates Say Are Toothless 2019-06-05T04:00:00Z The stricter fiduciary duty rule required all financial professionals - not just registered investment advisers - to act as trustees obligated to put their clients’ interests before their own. SEC moving to require brokers to reveal conflicts for advice 2019-06-05T04:00:00Z The stricter fiduciary duty rule required all financial professionals — not just registered investment advisers — to act as trustees obligated to put their clients’ interests before their own. SEC moving to require brokers to reveal conflicts for advice 2019-06-05T04:00:00Z In many cases, an MNG executive is listed as the administrator of the plans and Freeman is listed as president of the investment adviser. The hedge fund trying to buy Gannett faces federal probe after investing newspaper workers’ pensions in its own funds 2019-04-17T04:00:00Z The SEC, for example, passed up an opportunity to clearly define the differences between a broker and an investment adviser, Fleming said. SEC adopts rules requiring brokers to put customers’ interests above their own. Advocates say it won’t protect consumers. 2019-06-05T04:00:00Z “The underlying message is that there is nothing short of outright fraud that the investment advisers can’t address through disclosure alone,” she said. S.E.C. Adopts New Broker Rules That Consumer Advocates Say Are Toothless 2019-06-05T04:00:00Z This phenomenon is familiar to investment advisers working with retirees or soon-to-be retirees. When Gambling Seems Like a Good Investment Strategy 2019-04-05T04:00:00Z As part of the SEC settlement, Zaki agreed to a bar on working as an investment adviser, with the right to reapply after three years. Yale grad, 21, accused of running hedge fund scam on the side 2019-04-01T04:00:00Z According to Cambridge Associates, a private equity investment adviser, the U.S. industry’s average IRR was just under 10 percent in 2015, the most recent year for which it compiled data. Private equity investors fret about managers overpaying for deals 2019-03-01T05:00:00Z An investment adviser is generally held to higher standards in protecting consumers’ interests. SEC adopts rules requiring brokers to put customers’ interests above their own. Advocates say it won’t protect consumers. 2019-06-05T04:00:00Z One of the exemptions would allow a person to work as an “investment adviser” without registering with the Texas state board. Texas state senator pushes bill to give her husband power over rules he's accused of violating 2019-02-20T05:00:00Z Financial advisers should be registered either as a broker/dealer or as an investment adviser, Roper says. Liz Weston: Don’t let others pick your financial adviser 2019-02-04T05:00:00Z Harold Evensky was an early recruit in the growing army of financial planners and investment advisers who make money only through the fees that clients pay them directly, no commissions or kickbacks. The Things John Bogle Taught Us: Humility, Ethics and Simplicity 2019-01-18T05:00:00Z He cautioned that the pursuit of quick trades and short-term profits typically helped investment advisers more than investors. John Bogle, Vanguard founder who revolutionized investing with low-fee funds, dies 2019-01-16T05:00:00Z Morgan and Morgan Stanley, ask clients about their spending, as would many registered investment advisers. ‘Deciding How to Decide’: Even the Rich Need Advice on Budgeting 2019-01-11T05:00:00Z The rule also would require disclosures to clients of any potential conflicts and reaffirm existing higher standards for registered investment advisers. For American workers, 4 key retirement issues to watch in 2019 | Produced by Advertising Publications 2019-01-01T05:00:00Z The rule also would require disclosures to clients of any potential conflicts, and it reaffirms existing higher standards for registered investment advisers. For American Workers, 4 Key Retirement Issues to Watch in 2019 2018-12-20T05:00:00Z But Abel, who is an investment adviser, has a backup option. Short-term insurance plans are enticing, low-cost alternatives for healthy people 2018-11-30T05:00:00Z She credits a simple strategy — one recommended by lots of investment advisers. Women Who Become Widows Are Faring Better Financially 2018-11-17T05:00:00Z Jason Galanis, Archer and Cooney fraudulently induced pension funds to invest in the bonds through an investment adviser firm they controlled, according to prosecutors. Judge overturns Montana man's conviction in tribal bond scheme 2018-11-15T05:00:00Z The Democratic governor’s plan released Thursday includes proposed tax increases on hotel rooms, rental cars, tobacco and liquor and increasing a fee charged to investment advisers. Bullock’s $10.3B budget plan would extend Medicaid expansion 2018-11-15T05:00:00Z James Aitken, an independent investment adviser in London who counsels some of the world’s largest investors, was among the readers that came upon Mr. Parrish in 2012. How an Intelligence Expert Helps Wall Street Mavens Think Smarter 2018-11-11T05:00:00Z An investment adviser in eastern China and a Beijing weight-loss company submitted 20 applications — each — to use her name. China greenlights large batch of Ivanka Trump trademark applications 2018-11-06T05:00:00Z Jurors are heading home for the night without reaching a verdict in the trial of a Maryland investment adviser charged with orchestrating a multimillion-dollar Ponzi scheme to finance her lavish lifestyle. The Latest: Jury deliberations to resume in Ponzi case 2018-10-16T04:00:00Z But SEC staff said the “recommendations of a third party who is in fact independent of an investment adviser may cleanse the vote of the adviser’s conflict.” Opinion | Cracking the Proxy Racket 2018-09-17T04:00:00Z Only investment advisers carry such a duty, but broker-dealers do not. Murphy unveils fiduciary duty for NJ’s investment brokers 2018-09-17T04:00:00Z “And now, it’s being packaged for wealth management firms and registered investment advisers.” 3 Investments That May Have Hit Their Peak 2018-09-14T04:00:00Z The 70-year-old Springfield man pleaded guilty Wednesday to wire fraud and investment adviser fraud. Ex-investment adviser admits stealing at least $2 million 2018-08-29T04:00:00Z Kingdom Trust says it is qualified under U.S. financial regulations to hold assets on behalf of investment advisers, securities brokers, and retirement plans, according to its website. Crytocurrency storage firm Kingdom Trust obtains insurance through... 2018-08-28T04:00:00Z For someone like Korchevsky, a registered US investment adviser with over a decade of experience, the stolen press releases were easy money. How a hacker network turned stolen press releases into $100 million 2018-08-22T04:00:00Z “The fact that he’s changing is a good thing,” said George Morgan, a finance professor at the University of Nebraska at Omaha and a former investment adviser. Warren Buffett’s investing continues to evolve even at 87 2018-08-13T04:00:00Z UK employees are among the most pessimistic in the world about their retirement finances, according to investment advisers State Street. Young workers 'aware of pension reality' 2018-08-13T04:00:00Z “Seattle will do anything to promote business,” said Todd Brundage, 51, an investment adviser who said his plan for Saturday’s rally was to stay as far away as possible. Portland Protest Points to a Deeper Divide Over the City’s Identity 2018-08-04T04:00:00Z With the trade tariffs, the U.S. is “shooting itself in the economic foot,” said Richard Bernstein, chief investment officer of investment adviser firm Richard Bernstein Advisors. U.S. Stocks Resilient in Trade Spat, Sparking Complacency Fears 2018-07-15T04:00:00Z If and when funds are listed, prospective shareholders should treat them with caution and skepticism, investment advisers and authorities on cryptocurrencies warn. Bitcoin Funds Are Rare: They Sail Uncharted Waters 2018-07-13T04:00:00Z Despite the risks in many foreign markets, some investment advisers find more opportunities in them than in American stocks because there’s more room for improvement. Wall Street’s Summer Calm May Depend on Selective Vision 2018-07-13T04:00:00Z This week, the White House announced that Trump intends to nominate S. Lane Genatowski, a Houston, Texas–based investment adviser, to be ARPA-E’s next director. Trump’s pick to lead energy technology program puzzles observers 2018-07-13T04:00:00Z Charles Schwab Corp. said it settled a lawsuit with the Securities and Exchange Commission over claims the company failed to file reports on suspicious transactions by independent investment advisers that Schwab terminated from its platform. Manufacturing, building rose in June 2018-07-02T04:00:00Z Securities and Exchange Commission charges it failed to file suspicious activity reports on questionable transactions conducted by independent investment advisers. U.S. SEC fines Schwab $2.8 million over reporting failures 2018-07-02T04:00:00Z On Jan. 16, 2016, an investment adviser working for Mr. Banks wrote Mr. Povarenkin that Mr. Banks’s team had “not forgotten about your Alrosa project,” according to people who have reviewed records of the emails. Russians Offered Business Deals to Brexit’s Biggest Backer 2018-06-29T04:00:00Z Peterson, who pleaded guilty in February to conspiracy, investment adviser fraud and bank fraud charges, did not speak during the hearing. Ex-Morgan Stanley adviser sentenced to U.S. prison for fraud 2018-06-28T04:00:00Z The Supreme Court sided Thursday with a discredited investment adviser, finding that the Securities and Exchange Commission judge who penalized him was improperly appointed. Supreme Court sides with discredited investment adviser, says SEC judge was improperly appointed 2018-06-21T04:00:00Z Those numbers include not just traders, but also investment advisers. Wall Street wants more female traders, but old perceptions die hard 2018-06-14T04:00:00Z This long-term relationship, Detwiler said, is similar to the way people work throughout their lives with the same investment adviser or insurance agent through multiple transactions. As Long & Foster marks its 50th anniversary, questions swirl about the future of old-school brokerages 2018-05-02T04:00:00Z And the same players — proxy advisory firms Institutional Shareholder Services and Glass Lewis as well as union-affiliated investment adviser CtW Investment Group — are back again this year. Tesla’s annual shareholder meeting will decide Elon Musk’s future 2018-06-05T04:00:00Z He faces up to 15 years in prison after pleading guilty last year to investment adviser fraud and conducting unlawful monetary transactions. Defense seeks delay in investment fraud sentencing 2018-05-06T04:00:00Z One of the first patients Dr. Sartor treated with immunotherapy was George Villere, a retired investment adviser who lived in New Orleans. ‘Desperation Oncology’: When Patients Are Dying, Some Cancer Doctors Turn to Immunotherapy 2018-04-26T04:00:00Z What Mr. Zatulove, an 86-year-old former investment adviser, failed to take into account: “Half the cost is the physical plant they provide,” he said. How to Talk About Moving to a Retirement Home: ‘It’s a Journey’ 2018-04-27T04:00:00Z The bill was a priority for the Kentucky League of Cities, and it worked with investment advisers in crafting the legislation, said J.D. Kentucky governor issues new round of vetoes 2018-04-27T04:00:00Z An SEC administrative law judge held a hearing and fined Lucia $300,000 and barred him from working as an investment adviser, a decision the commission affirmed. Supreme Court considers power of agency judges and who should appoint them 2018-04-23T04:00:00Z In this case, the commission’s Enforcement Division decided to bring fraud charges against investment adviser Raymond Lucia in its own administrative court instead of a judicial court. Unappointed ‘Judges’ Shouldn’t Be Trying Cases 2018-04-22T04:00:00Z Second, it would require registered brokers and registered investment advisers to provide a brief summary of their relationship with clients. S.E.C. Seeks to Require Brokers to Put Their Clients First 2018-04-18T04:00:00Z In one recent example, the Department of Labor designated investment advisers as fiduciaries, a regulation that was subsequently rolled back by President Trump. This plan would regulate Facebook without going through Congress 2018-04-12T04:00:00Z Rockefeller relied heavily on Richard Salomon, his longtime investment adviser, to negotiate terms with Marc Porter, chairman of Christie’s Americas, and Stephen Brooks, the house’s deputy chief executive officer. Will the Rockefeller Collection be the First Art Auction to Top $1 Billion? 2018-04-11T04:00:00Z The Dodd-Frank Act directs the Securities and Exchange Commission to promulgate standards of conduct for broker-dealers and investment advisers who render “personalized investment advice about securities to a retail customer.” Tom Perez’s Fiduciary Flop 2018-03-18T04:00:00Z They include the Safari Club’s president, Paul Babaz, a Morgan Stanley investment adviser from Atlanta, and Erica Rhoad, a lobbyist and former GOP congressional staffer who is the NRA’s director of hunting policy. Trump wildlife protection board stuffed with trophy hunters 2018-03-15T04:00:00Z And last, it would reaffirm and clarify the existing rules of conduct for investment advisers, who are held to a higher standard than brokers. S.E.C. Seeks to Require Brokers to Put Their Clients First 2018-04-18T04:00:00Z Most investment advisers say the best thing is to ride out the plunges, just as Simmons is doing. Perspective | The stock market is going bonkers. Here’s what investors should know. 2018-02-06T05:00:00Z Kline, an investment adviser for Merrill Lynch in Bellevue, Wash., said: “I think it’s genius. I have no financial interest in Brooks, but I hope they blow the doors off.” When Running Is More Than a Sport 2018-01-21T05:00:00Z Economists and investment advisers interviewed by The Associated Press generally didn’t foresee the shutdown that began Saturday lasting long enough to stifle the economy much. Long shutdown could hurt economy, a short one just ‘a blip’ 2018-01-20T05:00:00Z Technology now allows investment advisers to become registered on their own and to serve clients at a high level without joining a wirehouse. As Big Firms Exit Broker Pact, Investors Are Uneasy 2018-01-19T05:00:00Z Those advisers include registered investment advisers and certified financial planners when they’re offering financial planning advice. Liz Weston: What good financial advice looks like 2018-01-15T05:00:00Z The case is brought by Raymond Lucia, a former California radio host and investment adviser known for his “Buckets of Money” strategy. Supreme Court takes on Texas gerrymandering case, will look at Internet sales tax 2018-01-12T05:00:00Z Often called a sales load, this cost is paid by you and passed on to investment advisers or brokers as a commission. Wrong mutual fund can rob years of retirement income 2017-12-28T05:00:00Z At issue is the Labor Department’s “fiduciary rule,” which would require investment advisers handling retirement accounts to act in the best interest of clients. Many Comments Critical of ‘Fiduciary’ Rule Are Fake 2017-12-27T05:00:00Z There are two catches, warns Catherine Lee Clarke, senior client investment adviser at Sentinel Trust: If you prepay your 2018 property taxes, you might be giving up any right to contest your property valuation. Analysis | 5 things to do before Jan. 1 to lower your tax bill 2017-12-22T05:00:00Z In place of pensions, companies and investment advisers urge employees to open retirement accounts. ‘I hope I can quit working in a few years’: A preview of the U.S. without pensions 2017-12-22T05:00:00Z Money managers are also developing and acquiring technology to keep the loyalty of investment advisers trying to compete in an increasingly automated world. Investment firms look over their shoulder as tech giants eye industry 2017-12-17T05:00:00Z The investment advisers' recommendation was to drop it. Tycoon made $41m from ‘people’s fund’ 2017-11-07T05:00:00Z Several investment advisers said they were surprised the permission was granted. Offshore cash helped fund Steve Bannon's attacks on Hillary Clinton 2017-11-07T05:00:00Z Labour MP Margaret Hodge, the former chair of the Commons Public Accounts Committee, said she was "pretty furious" with the Queen's investment advisers, saying they were bringing her reputation into disrepute. Queen's private estate invested offshore 2017-11-05T04:00:00Z And it prohibits small businesses in service sectors — such as attorneys, accountants and investment advisers — from taking advantage of it at all. Lobbying battle begins over GOP tax bill 2017-11-03T04:00:00Z Some investment advisers are gravitating toward foreign markets because they are cheaper and, especially in Europe and Japan, have central banks that continue to flood the economies with cash. The Stock Market Charges Ahead, Despite the World’s Storms 2017-10-13T04:00:00Z For example, the Labour Department is trying to stave off parts of a new “fiduciary rule”, which requires investment advisers always to work in the best interests of their clients. An assessment of the White House’s progress on deregulation 2017-10-12T04:00:00Z But many major firms are already registered as investment advisers. New Skirmish in an Old Battle: Wall Street vs. the Customer 2017-09-29T04:00:00Z McMenamin, who is also a longtime investment adviser and executive at Greenwich Roundtable, said during a recent tour of Versailles Farms the pace and demands of the restaurant business wore on him and his wife. Couple quits day jobs, become farmers 2017-09-25T04:00:00Z She met her husband, Rick Miller, a Topeka investment adviser at T&M; Financial Inc., online. Family seeks visa to move from Turkey to Kansas 2017-09-22T04:00:00Z She met her husband, Rick Miller, a Topeka investment adviser at T&M Financial Inc., online. Family seeks visa to move from Turkey to Kansas 2017-09-21T04:00:00Z The rules for disclosing a hack are stricter for broker-dealers and investment advisers than they are for public companies. Hack Response Opens SEC to Criticism 2017-09-21T04:00:00Z Northern Trust Wealth Management of the District appointed Cord Dannen senior institutional investment adviser for its foundation and institutional advisers group. Washington-area appointments and promotions for Sept. 18 2017-09-17T04:00:00Z Prosecutors plan to try him first on the charge of failing to register with the state as an investment adviser. Recent editorials from Texas newspapers 2017-08-29T04:00:00Z Prosecutors said the Gerova scheme involved a plan to quietly take control of nearly half of the reinsurer's public float, and cash out profitably after bribing investment advisers to buy shares for their own clients. Ex-Gerova chairman gets 6-1/2 years prison over stock scam 2017-08-03T04:00:00Z Channel, a research firm that tracks the growth of registered investment advisers. Wealth Advisers Set Up Shop With a Shared Back Office 2017-07-16T04:00:00Z Given their concerns about valuations and economic growth, it’s no surprise that investment advisers are looking abroad for opportunities. The Stock Market Is Believing the Fed — for Now 2017-07-14T04:00:00Z I’m a Southern California surfer and investment adviser for 20 years. California Today: Bringing Tax Anger to Governor’s Race 2017-07-05T04:00:00Z He then spent 12 years as an investment adviser at Morgan Stanley in Washington. Washington-area obituaries of note 2017-07-03T04:00:00Z Prosecutors said the Gerova scheme involved a plan to quietly take control of nearly half of the reinsurer's public float, and cash out profitably after bribing investment advisers to buy shares for their own clients. Ex-Gerova chairman gets 6-1/2 years prison over stock scam 2017-08-03T04:00:00Z He spoke to his brother in Florida, an investment adviser, who had received a fax after the election that read, “Get the f--- out of my country you Muslim pig,” and was moving to Canada. In a Midwestern town that went for Trump, a Muslim doctor tries to understand his neighbors 2017-07-01T04:00:00Z Mr. Malkiel is chief investment adviser for Wealthfront, a pioneering automated investment manager that last week adopted a new approach it calls Advanced Indexing. An Index-Fund Evangelist Is Straying From His Gospel 2017-06-22T04:00:00Z But being a “registered investment adviser” alone doesn’t qualify a professional to answer your most challenging money questions. Before You Pay for Financial Advice, Read This Guide 2017-06-18T04:00:00Z Skinny balding winger Faisal Manji, who works as an investment adviser, has become something of a sex symbol in recent months. Hashtag United, Wimbly Womblys and the virtual gamers striking it rich 2017-06-14T04:00:00Z The best-case scenario is that the rule survives undiluted after months of additional uncertainty for both investment advisers and their customers. Opinion | An Obama regulation is allowed to go into effect, for now 2017-06-10T04:00:00Z Federal prosecutors said Friday she falsely denied taking money from investment adviser Richard Ireland after her term as treasurer ended in early 2005. The Latest: Ex-Pennsylvania treasurer guilty of lying to FBI 2017-06-09T04:00:00Z It would roll back a proposed rule that investment advisers who collect commissions must put their clients’ interests ahead of their own. House votes to roll back post-2008 financial rules 2017-06-09T04:00:00Z It would roll back a proposed rule that investment advisers put their clients’ interests ahead of their own. GOP-run House poised to roll back post-2008 financial rules 2017-06-08T04:00:00Z It rolls back a proposed rule that investment advisers put their clients’ interests ahead of their own. House GOP on track to undoing post-2008 financial rules 2017-06-08T04:00:00Z The Illinois bill would put a 20% levy on fees earned by investment advisers. Illinois’s ‘Privilege Tax’ Proposal Forgets Citizens’ Right to Leave 2017-05-27T04:00:00Z His LinkedIn page shows he is an investment adviser with a law degree. Celtics boss Danny Ainge’s son to run for Congress in Utah 2017-05-23T04:00:00Z The company says it will use investment adviser Morgan Stanley to market and sell the facilities. KentuckyOne Health to sell Louisville facilities 2017-05-14T04:00:00Z But that is not the rule outside, where Mark Hughes, an investment adviser from Ashton, Maryland, attending his 26th meeting, said he got on line at 2:15 a.m. Buffett's 'carnival' draws shoppers and the sleep-deprived 2017-05-08T04:00:00Z A proposal making haste in the Senate would order investment advisers and brokerage firms to take on fiduciary duties - requirements to act in their clients’ best interests. Nevada Legislature considers police body cams, gay marriage 2017-04-16T04:00:00Z Testimony in the just-ended bribery trial of a wealthy suburban Philadelphia investment adviser, Richard Ireland, answered some questions about the federal investigation. FBI corruption probe in Pennsylvania had many more targets 2017-04-02T04:00:00Z And Congress has acted to reverse an Obama administration regulation that demanded that all investment advisers make their clients’ interests paramount. Senate Narrowly Passes Rollback of Obama-Era ‘Auto-I.R.A.’ Rule 2017-03-30T04:00:00Z For Sonda and his investment advisers, the focus was on continuing to cultivate a relationship with Neymar’s father and trying, with his consent, to secure a big profit by promoting the idea of transferring Neymar. Race for Neymar: the inside story of how Barcelona sealed the controversial deal 2017-03-30T04:00:00Z Now a cooperating witness in the FBI’s wide-ranging, pay-to-play investigation of Pennsylvania state government, McCord described the exchange during his four days of testimony in a bribery trial of a wealthy investment adviser. Bribery trial paints stark picture of Pennsylvania politics 2017-03-25T04:00:00Z A former investment adviser at Oppenheimer Holdings was sentenced on Wednesday to six months’ imprisonment after he pleaded guilty to insider trading based on information from a childhood friend who worked at Pfizer Inc. Stockbroker Is Sentenced to Six Months’ Imprisonment for Insider Trading 2017-03-15T04:00:00Z A former investment adviser at an Oppenheimer Holdings Inc was sentenced to six months' imprisonment Wednesday after he pleaded guilty to insider trading based on information from a childhood friend working at Pfizer Inc. Ex-Oppenheimer adviser gets six months in U.S. insider trading case 2017-03-15T04:00:00Z In both cases, there are incentives for sellers – the car dealers or investment advisers – to hide any flaws in what they want to sell, thereby deceiving buyers. Of liquidity and lemons: Why Wall Street is like a used car lot 2017-03-07T05:00:00Z Registered investment advisers, on the other hand, are considered “fiduciaries” and must disclose any fees, commissions or potential conflicts of interest. The fiduciary rule and you 2017-02-19T05:00:00Z “The illusion of being free encourages frequent trading, which is well known to be a cause of lousy investment returns,” said Tad Borek, an investment adviser at Borek Financial Management. With No Frills and No Commissions, Robinhood App Takes On Big Brokerages 2017-02-18T05:00:00Z “The Ivy Funds are offered widely” through registered investment advisers, wirehouse brokers and others. Is Your Financial Adviser Acting in Your Best Interest? 2017-02-10T05:00:00Z The new expectations still did not reflect investment advisers’ short-term forecasts. Despite risks, public pensions put faith in long-term returns 2017-02-06T05:00:00Z The technical terminology gets confusing, but a financial planner or investment adviser in a stand-alone firm may be required to act in your best interest or may pledge to in all instances. Fiduciary Rule Is Now in Question. What’s Next for Investors. 2017-02-03T05:00:00Z Jason Galanis, 46, entered his plea in Manhattan federal court to charges that included securities fraud and conspiracy to commit investment adviser fraud in connection with what prosecutors called a multimillion-dollar scheme. Former Los Angeles investment banker pleads guilty to fraud 2017-01-19T05:00:00Z Under these circumstances, many investment advisers recommend taking only minimal, reasonably priced risks. A Rising Market Now Confronts Heightened Risks 2017-01-13T05:00:00Z Many certified- and fee-only financial planners, registered investment advisers and personal financial advisers who are also certified public accountants operate under the fiduciary model. How to Get Financial Advice That Is in Your Best Interest 2017-01-13T05:00:00Z But the Chicago Tribune reported later that month that instead of a blind trust, the governor had granted administrative power over his money to an investment adviser. West Virginia faces questions about its own rich politician 2017-01-12T05:00:00Z The Keystone XL pipeline would not be built; power plants would emit less carbon dioxide; investment advisers would adhere to higher standards; and environmental regulators would have new authority over U.S. waterways. The promise and peril of Obamacare 2016-08-16T04:00:00Z The men were charged with securities fraud and investment adviser fraud, according to an unsealed indictment filed in Federal District Court in Brooklyn. Platinum Hedge Fund Executives Charged With $1 Billion Fraud 2016-12-19T05:00:00Z The answer is an emphatic yes, according to investment advisers, who say clean energy companies will continue to thrive during a Trump administration, regardless of what the president says or does. Trump May Not Like Alternative Energy, but Investors Should 2017-01-06T05:00:00Z Navarro is an academic and one-time investment adviser who has authored books such as "Death by China: How America Lost its Manufacturing Base". Chinese media alarmed at Trump trade adviser, warn of U.S. showdown 2016-12-22T05:00:00Z “There’s nothing to replace those commodity loadings,” said David Nahass, senior vice president of rail-equipment investment adviser Railroad Financial Corp. in Chicago. Too Many Railcars, Too Little Freight 2016-12-02T05:00:00Z David Lyon, 41, who was a Chicago-based registered investment adviser, followed a similar path. Seeds of a Fintech Start-Up Sometimes Come From the Trenches 2016-11-23T05:00:00Z His appointees could halt or reverse regulations on the “fiduciary duty” of investment advisers, risk-management standards for large insurers and asset managers, and consumer-finance rules governing everything from mortgages to bank overdraft fees. U.S. Businesses Bet on Which Trump Will Govern 2016-11-14T05:00:00Z Mr. Trump could prune other low-hanging financial regulations, including a newly enacted Department of Labor rule that holds investment advisers liable for certain advice to their clients. Trump Expected to Seek Deep Cuts in Business Regulations 2016-11-09T05:00:00Z About a decade ago, she was a stay-at-home mom with a side job ghostwriting financial newsletters for investment advisers. Nonprofit Employees, Already Underpaid, Face Special Challenges in Retirement 2016-11-02T04:00:00Z It’s part of a larger agreement liquefying the $277 million estate of a Beverly Hills investment adviser who defrauded hundreds of often elderly clients. California wins a fraction of Bernard Madoff fraud recovery 2016-10-28T04:00:00Z Fee-only financial advisors won't be listed there, but can be reviewed at the Securities and Exchange Commission's investment adviser public disclosure. 5 Questions to Ask a Fiduciary 2016-10-26T04:00:00Z Unlike registered investment advisers, who are required to consider clients’ best interests, brokers are held to the lower standard of suitability. Red-Flag Time: Your Broker Offers a Can’t-Miss Sales Contest 2016-10-21T04:00:00Z The new firm was established and registered with the S.E.C. as an investment adviser this year — a precursor to managing outside money. Steven Cohen May Return to Hedge Fund Industry When Ban Expires 2016-10-19T04:00:00Z Some of them are fortunate to happen across investment advisers like Ms. Brunson. Nonprofit Employees, Already Underpaid, Face Special Challenges in Retirement 2016-11-02T04:00:00Z His lawyers argued that the Texas statute making it a crime to offer services as an unregistered investment adviser was unconstitutionally vague and overbroad. The Shadowy Line Between Friendly Sales Pitch and Deception 2016-10-17T04:00:00Z Mr. Moghrabi, an investment adviser based in Sidon, Lebanon, splits his time between Lebanon and the United Arab Emirates. A Boy’s Allowance: Never Safe From the IRS 2016-10-17T04:00:00Z BlackRock will offer the funds through Artivest, a startup investment platform used by registered investment advisers to access hedge funds, infrastructure funds and other alternative investments. BlackRock to offer infrastructure funds via independent advisers 2016-09-29T04:00:00Z If you’re not up to the do-it-yourself journey, consider consulting a fee-only certified financial planner, a chartered financial analyst or a registered investment adviser. Trading Stocks for Bonds Poses Its Own Risks 2016-08-26T04:00:00Z This complex asset-holding structure was created not by the Pritzker family itself but by its lawyers, accountants, tax specialists and investment advisers. How to hide it: inside the secret world of wealth managers | Brooke Harrington 2016-09-21T04:00:00Z Mr. Paxton, who was elected attorney general in 2014 after serving in the Texas Legislature, was also indicted in state court for securities fraud and failing to register as an investment adviser. The Shadowy Line Between Friendly Sales Pitch and Deception 2016-10-17T04:00:00Z Ellis is a former reporter for The Oregonian turned investment adviser who lives in Portland. Luxury lodge being built in Oregon wilderness 2016-08-31T04:00:00Z The top U.S. securities regulator said on Thursday it would require more information from investment advisers about their separately managed account businesses, as it continues to tighten oversight on the sector. SEC requires advisers to provide more information about business 2016-08-25T04:00:00Z Even knowledge-intensive jobs can be automated, with investment advisers now facing competition from computer programs that allocate capital. Dream On 2016-08-22T04:00:00Z One manual published by Step explains that their role is to be “part lawyer, part tax adviser, part accountant and part investment adviser all rolled into one”. How to hide it: inside the secret world of wealth managers | Brooke Harrington 2016-09-21T04:00:00Z The law, however, does not impose such a duty generally in the absence of evidence that the person assumed control over the investments of others or occupied a position as an investment adviser or broker. The Shadowy Line Between Friendly Sales Pitch and Deception 2016-10-17T04:00:00Z Miller, 66, will buy Legg Mason’s stake in LMM, an investment adviser that he and the company jointly own, said a statement released Thursday. Dow, S&P, Nasdaq close at record highs 2016-08-11T04:00:00Z "Requiring investment advisers to report this additional information will provide investors and the commission with a better understanding of the risk profile of each adviser and the industry as a whole." SEC requires advisers to provide more information about business 2016-08-25T04:00:00Z Jackson pleaded guilty in October 2015 to investment adviser fraud and wire fraud. Investment adviser sentenced to prison for taking $1.4M 2016-08-03T04:00:00Z For instance, Duncan Clark, an investment adviser in China who wrote “Alibaba: The House That Jack Ma Built,” pointed to the way Amazon and Alibaba act as foils for one another. Even Uber Couldn’t Bridge the China Divide 2016-08-01T04:00:00Z Mr. Seyfer, 68, who splits his time between Cedar Rapids, Iowa, and Wesley Chapel, Fla., is a retired broker and investment adviser who now plays shuffleboard on the competitive circuit. A Coach’s Influence Off the Field 2016-08-01T04:00:00Z If this sounded a bit like a recommendation for a plumber or an investment adviser, Clinton’s supporters weren’t discouraged. Bernie Sanders Gives Hillary Clinton Another Boost 2016-07-27T04:00:00Z After the sale was announced, Bettinelli said he was bombarded by calls and emails — some from friends and families offering congratulations, many from wealth managers and investment advisers eager to offer their services. Champagne, tacos and time off: How Dollar Shave Club employees are celebrating $1-billion sale 2016-07-23T04:00:00Z A U.S. investment adviser and blogger, Eddy Elfenbein, tweeted Friday that his brother was in Munich. Shooter who killed 9 in Munich was 18-year-old with dual Iranian German nationality 2016-07-22T04:00:00Z Jason Galanis, 46, of Los Angeles, admitted to securities fraud, investment adviser fraud, and two conspiracy charges at a hearing before U.S. Investment banker Galanis pleads guilty in Gerova stock scam 2016-07-21T04:00:00Z Some niches within the markets — stocks of companies in one industry or region, bonds from certain types of issuers — may offer adequate return prospects at acceptable risk, investment advisers say. Stretch of Market Volatility Makes It Stormy at the Top 2016-07-15T04:00:00Z The Massachusetts Securities Division said it would examine all fees charged to investors when reviewing applications made by investment advisers seeking registration in the state, as well as when examining existing investment advisers. Massachusetts Urges Greater Disclosure on Firms’ Use of Robo Advisers 2016-07-14T04:00:00Z The guidance, issued by the Massachusetts' Securities Division, says registered investment advisers must tell clients when they receive services performed by a robo adviser. Massachusetts regulator to advisers: tell clients if you use a robo 2016-07-14T04:00:00Z Omar Amanat, an investor in media, finance and technology companies, was charged in an indictment filed in Manhattan federal court with wire fraud, aiding and abetting investment adviser fraud, and conspiracy to commit securities fraud. New York entrepreneur Amanat indicted for fraud scheme 2016-07-13T04:00:00Z A great many registered investment adviser firms would be delighted to manage a $1 million account for half that much. Growing debt isn’t good for retirement 2016-07-09T04:00:00Z She qualified as a chartered accountant in 1985 and went on to work for leading City firms as an accountant, market analyst and investment adviser. Nicky Morgan to force through choice of new Ofsted chief - BBC News 2016-07-07T04:00:00Z The guidance also warned investment advisers in the state that there will be penalties for those who charge excessive fees since fiduciaries are required to “minimize fees.” Massachusetts Urges Greater Disclosure on Firms’ Use of Robo Advisers 2016-07-14T04:00:00Z Massachusetts' top securities regulator on Thursday issued a regulatory notice to the state's roughly 700 registered investment advisers that if they use robo advisers, they must tell clients and explain the fees charged. Massachusetts regulator to advisers: tell clients if you use a robo 2016-07-14T04:00:00Z Start with three to six months of statements — bank statements and credit card statements — says Nina O’Neal, investment adviser at Archer Investment Management in Raleigh, N.C. The make-or-break factor in retirement: Keeping a budget 2016-06-23T04:00:00Z It is part of what they do as registered investment advisers, which already requires them to regularly file information with the SEC about their firm and their funds. An Iniquitous Raid on Private Equity 2016-06-28T04:00:00Z The Securities and Exchange Commission said it obtained a court order freezing the assets of the investment adviser, Ash Narayan. Tuesday’s Sports in Brief 2016-06-22T04:00:00Z A federal judge has put a hold on the assets of an investment adviser and two sport-ticket site executives charged with siphoning money from clients, including professional athletes. SEC Files Civil Complaint Against Financial Adviser for Professional Athletes 2016-06-21T04:00:00Z As an investment adviser with the firm, he thought he knew it well enough. The Money Letter That Every Parent Should Write 2016-06-17T04:00:00Z That led to him talking investments in the doctors’ lounge and, initially, a second job advising his fellow doctors as a registered investment adviser. Deciding if a Financial Adviser Is Right for the Job 2016-06-10T04:00:00Z Three, including Jason Galanis, were also charged with investment adviser fraud. U.S. charges 'Porn's New King' with tribal bond fraud 2016-05-11T04:00:00Z The Washington investors’ fate — their investments are worth pennies on the dollar — is also a cautionary tale for anyone who gets excited about a tip from an investment adviser. How 800 Washington state investors wound up in the Panama Papers 2016-05-06T04:00:00Z Robo-advisers were already required to follow the highest standards of consumer protection — on every dollar they manage, not just retirement money — because most of them are registered investment advisers. The Pros and Cons of Using a Robot as an Investment Adviser 2016-04-29T04:00:00Z Warren, a scourge of Wall Street, is disappointed with the agency’s decision to approve Stamford Harbor Capital to act as investment adviser to outside clients. Elizabeth Warren calls SEC's approval of firm 'a mockery' and questions mission 2016-04-21T04:00:00Z The SEC in January reached a settlement with Cohen prohibiting him from serving in a supervisory role at any broker, dealer, or investment adviser until 2018, addressing charges related to the SAC subsidiary. Sen. Warren demands answers from U.S. regulators over Cohen firm 2016-04-21T04:00:00Z A grand jury in Collin County near Dallas charged him with two counts of securities fraud and one count of acting as an investment adviser representative without being registered with the state. Texas Attorney General Faces Federal Securities Fraud Lawsuit 2016-04-11T04:00:00Z And so, according to a report by the BBC, did Olszewski, a thirty-nine-year-old investment adviser and the author of the book “Live It, Love It, Earn It: A Woman’s Guide to Financial Freedom.” Panama Papers: Why Aren’t There More American Names? 2016-04-05T04:00:00Z The Massachusetts Securities Division recently put investors and the state-registered investment advisers it oversees — or those with less than $100 million in assets — on notice. The Pros and Cons of Using a Robot as an Investment Adviser 2016-04-29T04:00:00Z For folks without much investment savvy — that’s most of us — hiring a solid investment adviser “can offset your Uncle Fred, who keeps browbeating you to buy that red-hot stock.” How to pick a financial adviser (could be the most lucrative decision you ever make) 2016-03-25T04:00:00Z This brochure, according to the S.E.C., is “designed to promote effective communication” between an investment adviser and its clients. Keeping Investors on a Need-to-Know Basis 2016-02-26T05:00:00Z Mr. Paxton was reprimanded in 2014 by the Texas State Securities Board for failing to register as a representative of an investment adviser. Texas Attorney General Faces Federal Securities Fraud Lawsuit 2016-04-11T04:00:00Z "It's ironic that Trump is from New York and people in the South are supportive," said Rob Carres, a 45-year-old investment adviser from Alphacetta, Georgia, who was campaigning for Trump in South Carolina. With his down home values and penchant for cowboy boots, Ted Cruz is laying the southern charm on thick, hoping to convince voters across the land of sweet tea and fried okra that he's one of them 2016-02-19T05:00:00Z She wants to get engaged tout de suite, but her beau, investment adviser Andrew Martin, is tip-toeing across the fence. Fact-checking the ‘Real Housewives of Potomac': Katie Rost and Andrew Martin 2016-02-01T05:00:00Z WASHINGTON—The Securities and Exchange Commission is adding 100 compliance examiners devoted to inspecting financial planners, money managers and other investment advisers, the largest increase in recent years, according to people familiar with the matter. SEC Seeks to Ramp Up Investment-Adviser Inspections With New Hires 2016-01-29T05:00:00Z Toward that end, the regulator requires investment advisers to highlight any material changes made to the same document issued previously. Keeping Investors on a Need-to-Know Basis 2016-02-26T05:00:00Z As investment advisers, one of our key jobs is to help our clients control their emotions. What Advisers Should Tell Clients Now About the Stock Market 2016-01-14T05:00:00Z At the root of these investigations is the concern that fund trustees are beholden less to the investors they are mandated to protect than to the investment advisers that appoint them to their paid positions. A New Focus on Liquidity After a Fund’s Collapse 2016-01-11T05:00:00Z In April, an investment adviser, Michael Oppenheim, was charged in Federal District Court in Manhattan with stealing $20 million from seven of the bank’s clients. 2 Bankers Charged With Creating A.T.M. Cards to Steal From Accounts 2015-12-28T05:00:00Z The 20% increase in the number of inspectors, to about 630, is aimed at addressing the agency’s inability to conduct frequent inspections of investment advisers, these people said. SEC Seeks to Ramp Up Investment-Adviser Inspections With New Hires 2016-01-29T05:00:00Z In late January, she wrote a letter to Mary Jo White, the chairwoman of the S.E.C., asking the commission to post past brochures on its investment adviser website. Keeping Investors on a Need-to-Know Basis 2016-02-26T05:00:00Z They managed to keep the most controversial spending directives — “riders” — off the bill, including attempts to curb new regulations governing federal clean water protections and retirement investment advisers. Spending deal clears slate for Paul Ryan and his 2016 agenda 2015-12-16T05:00:00Z The message was clear: Mutual fund boards are responsible for making sure that the investment adviser acts responsibly in pricing securities and ensuring there is enough cash on hand for investors looking to sell. A New Focus on Liquidity After a Fund’s Collapse 2016-01-11T05:00:00Z This isn't an investment column, and I am not an investment adviser. Mossberg: Battery tech isn’t keeping up 2015-12-16T05:00:00Z The SEC is filling some of the 100 slots by shifting some examiners of brokerage firms to investment advisers. SEC Seeks to Ramp Up Investment-Adviser Inspections With New Hires 2016-01-29T05:00:00Z A look through these filings shows that investment advisers regularly report that their filings contain no such changes. Keeping Investors on a Need-to-Know Basis 2016-02-26T05:00:00Z A New York-based investment adviser filed a class action lawsuit against Barclays Plc on Friday alleging that rigged foreign exchange trading practices at the bank caused "significant damages" to its trading partners. Class action suit against Barclays alleges forex rigging losses 2015-11-27T05:00:00Z Speaking of excesses in securities-market regulation, former Securities and Exchange Commission division director Norm Champ warns about SEC plans to deputize private organizations to conduct compliance reviews of investment advisers. The ISIS Threat in the U.S. 2015-11-23T05:00:00Z The third-party reviews would not replace examinations conducted by the SEC, but would “supplement them in order to improve compliance by registered investment advisers.” Investment Advisers Don’t Need Mystery Monitors 2015-11-22T05:00:00Z Bill Parish, a registered investment adviser at Parish & Company in Portland, Ore., is a big fan of Intel and owns its shares for his clients. Intel Lawsuit Questions Place of Hedge Funds in Retirement Plans 2015-11-20T05:00:00Z To a large extent, the individual profiles appear to be repurposed from the Form U4, which brokers and investment advisers file in order to register with the appropriate authorities and conduct business. BrokerCheck Guide to Advisers Is No Yelp 2015-11-13T05:00:00Z Robo-advisers or models are used by human investment advisers anyway, so the consumer might as well benefit with lower fees and one fewer intermediary. Bring on the robo-advisers 2015-11-08T05:00:00Z The Texas State Securities Board in 2014 found that Paxton was not properly registered as an investment adviser. Texas attorney general's lawyers ask judge to toss fraud charges 2015-11-03T05:00:00Z The SEC alleged he used investment advisers who had been bribed to buy the stock to prop up its price. Short Seller Who Took On ‘Porn’s New King’ Is Still Standing 2015-11-03T05:00:00Z He formally backed off from the controversial idea in 2013, but continued to discuss the need for heightened oversight of investment advisers. FINRA says CEO Richard Ketchum to retire in 2016 2015-10-30T04:00:00Z Massachusetts’ top securities regulator filed a complaint Monday accusing a Fidelity Investments unit of allowing unregistered investment advisers to trade. Fidelity Accused of Acting in an ‘Unethical Manner’ 2015-10-26T04:00:00Z Mr. Galvin says his office’s investigation spurred Fidelity to begin a review last year of its internal risks from allowing unregistered investment advisers to make transactions for customers. Massachusetts Accuses Fidelity of Failing to Block Unregistered Advisers 2015-10-26T04:00:00Z Since its inception in 1934, the S.E.C. has had the authority to impose sanctions on violators who come within its purview, such as brokers and investment advisers, without having to go to court. Reforming the S.E.C.’s Administrative Process 2015-10-26T04:00:00Z “They also illustrate that investment advisers to funds, including private funds catering to sophisticated investors, must disclose material facts to clients,” she said. S.E.C. Releases Data on Fund Advisers 2015-10-16T04:00:00Z "Commodities are very difficult for individual investors to play," says Terry Gardner Jr., senior managing director at registered investment adviser C.J. Why There's No Better Time to Buy Commodities 2015-10-13T04:00:00Z In one example, about 20 Fidelity customers paid one unregistered investment adviser who was trading on their behalf about $732,000 in advisory fees over a 10-year period, according to the complaint. Fidelity Accused of Acting in an ‘Unethical Manner’ 2015-10-26T04:00:00Z Mr. Galvin says Fidelity allowed unregistered investment advisers to use its trading platform to conduct investment advisory business over a decade starting in 2005. Massachusetts Accuses Fidelity of Failing to Block Unregistered Advisers 2015-10-26T04:00:00Z Ernst & Young told the BBC that they were among several auditors used by funds that chose Madoff as their investment adviser, none of whom detected the fraud. Madoff victims bring auditor to trial - BBC News 2015-10-12T04:00:00Z In this column, we feature model portfolios from investment advisers who mainly use mutual funds and exchange-traded funds. Adviser Goes for the Alternative 2015-10-05T04:00:00Z At their sales stations, fresh-faced young men and smiling women pitched their products to browsing investment advisers. E.T.F. Sponsors Remain Confident in the Face of Volatility 2015-10-01T04:00:00Z Marketing a fund helps increase assets under management, so the investment adviser is the primary beneficiary of any fees paid for that purpose. S.E.C. Turns Its Eye to Hidden Fees in Mutual Funds 2015-09-25T04:00:00Z Lesnak was an investment adviser for the widow and her husband, authorities said. Investment adviser gets prison term for stealing from widow 2015-09-19T04:00:00Z The Labor Department proposal would require investment advisers to abide by a “fiduciary” standard — meaning that the best-interest-of-the-client yardstick should be their sole criterion in offering counsel to clients. The right question to ask about government 2015-09-06T04:00:00Z The so-called pay-to-play rule requires investment advisers to wait two years before offering services to government clients if they contribute to the campaign of an official with power to influence the adviser's hiring. Appeals court dismisses Republican lawsuit over SEC 'pay-to-play' rule 2015-08-25T04:00:00Z A U.S. appeals court handed the Securities and Exchange Commission a victory on Tuesday by dismissing a challenge from two state Republican parties to the regulator's pay-to-play rule for investment advisers. U.S. court rejects Republican challenge to SEC pay-to-play rule 2015-08-25T04:00:00Z A similar conflict of interest between investment advisers and clients is getting a thorough airing this week in Washington. The Hidden Reason Your 401(k) Fund Choices Are So Bad 2015-08-11T04:00:00Z “As fiduciaries, investment advisers must be vigilant about disclosing all material facts to their clients, including actual and potential conflicts of interest,” said Andrew J. Ceresney, director of the S.E.C. enforcement division. Guggenheim Partners Pays $20 Million to Settle S.E.C. Charges 2015-08-10T04:00:00Z In this column, we feature model portfolios from investment advisers. An Index Fan Goes More Active 2015-08-10T04:00:00Z The proposal’s abstract said the rule would “prescribe minimum standards for anti-money-laundering programs to be established by certain investment advisers and to require such investment advisers to report suspicious activity to FinCEN.” Rule Would Impel Big Funds to Strengthen Controls 2015-08-07T04:00:00Z The SEC's pay-to-play rule aims to combat a potential quid pro quo between investment advisers and elected officials in a position to help them win business. U.S. court rejects Republican challenge to SEC pay-to-play rule 2015-08-25T04:00:00Z Jim Wright, chief investment officer of Harvest Financial Partners, a registered investment adviser in Paoli, Pennsylvania, says it's tough to find the quality and value that Johnson & Johnson stock brings to the table. Take Calculated Risks to Profit From These 5 Dividend Stocks 2015-08-04T04:00:00Z Last year, Mr. Paxton was reprimanded by the Texas State Securities Board for failing to register as an investment adviser representative and was fined $1,000. Securities Fraud Charges Bring Texas Attorney General, Ken Paxton, to County Jail 2015-08-03T04:00:00Z The charges include two first-degree felonies relating to securities fraud and one third-degree felony related to failing to register as an investment adviser, they said. Texas Attorney General Faces Charges 2015-08-03T04:00:00Z The case against Mr. Paxton began in May 2014, when he was reprimanded by the Texas State Securities Board for failing to register as a representative of an investment adviser. Grand Jury Indicts Texas Attorney General, Ken Paxton, on Felony Charges 2015-08-01T04:00:00Z More Americans seem to trust the drivers they hail on the popular car-service app than brokers, according to Personal Capital Corp., a Redwood City, Calif.-based registered investment adviser that manages more than $1.5 billion. Brokers Are Trusted Less Than Uber Drivers, Survey Finds 2015-07-28T04:00:00Z Occupation: retired investment adviser and accountant, former state fiscal officer. A glance at primary candidates for Public Service Commission 2015-07-25T04:00:00Z On July 15, Massachusetts Secretary of the Commonwealth William Galvin announced he was beginning an investigation into the sales practices of registered investment advisers in connection with alternative mutual funds. Special Report: Blackstone champions hedge funds for the little guy 2015-07-22T04:00:00Z A spokesman for Trillium Asset Management, the oldest investment adviser devoted exclusively to sustainable and responsible investing, which partners with AmazonWatch, declined to comment. Amazon Watch still backs Steven Donziger’s discredited Chevron lawsuit after others bail 2015-07-15T04:00:00Z The January fundraising brought in prominent Beijing-based investment firm Hillhouse Capital Group and Fidelity Management & Research Co., the investment adviser for Fidelity’s mutual fund family, the people said. China’s Meituan Aims to Raise More Than $1 Billion 2015-07-08T04:00:00Z The administration’s efforts to impose strict regulations on for-profit universities would be reversed, as would new rules requiring retirement investment advisers to prove they have no financial conflicts of interest. Republicans Aim to Hamper Obama’s Policies With Spending Bills 2015-07-07T04:00:00Z And last year the SEC’s Office of Compliance Inspections and Examinations conducted a survey of registered broker-dealers investment advisers to establish a baseline of their cybersecurity standards. Four Steps To Implementing New SEC Cybersecurity Guidelines 2015-07-01T04:00:00Z Another case before Judge May involves administrative charges against the Gray Financial Group, an Atlanta-based investment adviser, and two of its officers. S.E.C. Learns the Hard Way How Judges Are Like Umpires 2015-06-29T04:00:00Z Another big question is the quality of the workforce, which McLean investment adviser Stephen Cassaday said Monday is contributing to Virginia’s economic woes. Virginia leaders looking to recapture state’s business momentum 2015-06-24T04:00:00Z If you are in a position of power in an organisation that may consider divestment, you should first consult your investment advisers. A beginner's guide to fossil fuel divestment 2015-06-23T04:00:00Z It is currently owned by a real estate fund for which New York-based financial firm BlackRock serves as the investment adviser. Q&A on history of Berkeley building where balcony collapsed 2015-06-16T04:00:00Z The disclosures appear in documents the firms filed with the Securities and Exchange Commission as registered investment advisers. When Private Equity Firms Give Retirees the Short End 2015-06-13T04:00:00Z I asked a panel of investment advisers to weigh in about why investors are better off ignoring stock market forecasts. How Ignoring Stock Market Forecasts Will Make You A Better Investor 2015-06-06T04:00:00Z To help you narrow the options and invest like a boss, I asked an array of leading investment advisers to share their favorite mutual funds. Invest Like A Boss With Leading Investment Advisers' Favorite Mutual Funds 2015-05-31T04:00:00Z Similarly, cases against brokers and investment advisers, along with their employees, have traditionally been pursued in administrative proceedings. Choosing the Battlefield in S.E.C. Cases 2015-05-11T04:00:00Z The bank was previously granted two waivers in connection with its May 2014 guilty plea that permit it to continue acting as an investment adviser and to raise capital privately. Exclusive: Credit Suisse dropped SEC waiver request amid opposition - sources 2015-05-04T04:00:00Z Full portfolio management and advisory services are offered through E*TRADE Capital Management, an investment adviser registered with the Securities and Exchange Commission. E*TRADEVoice: Growth vs. Value Investing: Which Style Is Right For You? 2015-04-29T04:00:00Z For most of the time, Mr. Oppenheim was an investment adviser with Chase Investment Services, which is affiliated with the big bank’s retail arm as opposed to its wealth management division. Former JPMorgan Case Broker Charged in $20 Million Fraud 2015-04-16T04:00:00Z They will increase earnings on retirement savings by a percentage point, while costing brokers and other investment advisers only $2.4 billion-5.7 billion, the Department of Labour reckons. Seller beware 2015-04-16T04:00:00Z If Europe is on the mend, investment advisers credit the European Central Bank. A Market Rally Without Steam 2015-04-11T04:00:00Z An investment adviser in Chattanooga asked him if any involvement in the Middle East were not futile. Iran Conjures Strong Opinions in Tennessee, but Little Urgency 2015-04-10T04:00:00Z Either way, run the choice past your financial counselor, accountant or investment adviser. To tap cash from the value of a home, a credit line isn’t the only option 2015-04-01T04:00:00Z There, you’ll find detailed information on how to research the background of brokers, planners and investment advisers, as well as links to regulators’ sites and other resources. 4 Tips For Finding The Right Financial Adviser 2015-04-03T04:00:00Z The agency said Tilton violated her fiduciary duty to clients, the legal obligation of investment advisers and managers to put their clients' financial interests first. SEC files fraud charges against Lynn Tilton, firms 2015-03-30T04:00:00Z While some say a rate increase could arrive as early as June, most investment advisers now expect it would take place no sooner than September. Yellen says rate increase may be warranted later in year 2015-03-27T04:00:00Z These target asset mixes were developed by Strategic Advisors, Inc., a registered investment adviser and Fidelity Investments company, based on the needs of a typical retirement plan participant. FidelityVoice: Make Your IRA Contribution -- And Invest It Too 2015-03-27T04:00:00Z Brokers would owe a fiduciary duty to their customers, the same requirement imposed on investment advisers, which means they must put their clients’ interests first. S.E.C. Faces Tough Challenge to Enhanced Broker Rule 2015-03-23T04:00:00Z Registered investment advisers already fall under that higher bar, while brokers follow a looser “suitability” standard that requires them only to mind customers’ needs and appetite for financial risk. S.E.C. Chief Voices Support for Higher Advice Standard for Brokers 2015-03-17T04:00:00Z That is the experience for many Americans who are contractually obligated to resolve their disputes with investment advisers or lenders in this way. Wronged Troops Are Denied Recourse by Arbitration Clauses 2015-03-16T04:00:00Z But some do as lawyers, real estate agents, investment advisers or other occupations. A sampling of editorials from around New York 2015-03-11T04:00:00Z Still, participants shouldn’t change investments without a clearly defined reason, investment advisers say. 529 College Savings Plans in a State of Evolution 2015-03-05T05:00:00Z Bernard L. Madoff’s firm was registered with the S.E.C. as an investment adviser, so it operated under the fiduciary duty standard, yet thousands of its clients’ financial lives were destroyed. S.E.C. Faces Tough Challenge to Enhanced Broker Rule 2015-03-23T04:00:00Z Unlike regulations in Canada and some Western European countries, which have essentially banned kickbacks from funds to investment advisers, the Obama administration’s proposed rule does not directly attack conflicts of interest. Americans Aren’t Saving Enough for Retirement, but One Change Could Help 2015-03-03T05:00:00Z By law, registered investment advisers must meet a fiduciary standard and certified financial planners are held to a fiduciary standard by their organization if they offer planning services. Will Retirement Advisers Start Putting You First? 2015-02-24T05:00:00Z People were also at risk of getting advice from venal investment advisers guiding them toward investments with high fees or high risk because those products provided the advisers with high, frequently undisclosed commissions. Obama Proposal Recognizes How Retirement Saving Has Changed 2015-02-24T05:00:00Z Authorities say he was an investment adviser for the widow and her husband. Investment adviser, father accused of stealing from widow 2015-02-14T05:00:00Z The S.E.C. staff issued a report in January 2011 that called for adoption of a uniform fiduciary duty standard applicable to both investment advisers and brokers. S.E.C. Faces Tough Challenge to Enhanced Broker Rule 2015-03-23T04:00:00Z His observation suggests a different policy prescription: shoring up Americans’ retirement requires, first of all, aligning the interests of investment advisers and their clients. Americans Aren’t Saving Enough for Retirement, but One Change Could Help 2015-03-03T05:00:00Z Using solid academic research and his own experience in financial services as research director for the BAM Alliance, a group of investment advisers, he rarely pulls punches. Four Reasons You Can't Beat Wall Street But Can Still Profit 2015-02-09T05:00:00Z The wolves, in this case, being investment advisers gunning for high commissions. Obama Proposal Recognizes How Retirement Saving Has Changed 2015-02-24T05:00:00Z Mosley, 50, of Vernon Hills, pleaded guilty in October to two counts of investment adviser fraud and is scheduled to be sentenced Friday immediately after Bloom. Money manager faces up to 20 years in prison for massive fraud 2015-01-30T05:00:00Z What Rauner did instead was create a different, less rigorous structure known as a power of attorney that granted management authority over much of his wealth to a New York investment adviser. How do 'blind trust' procedures announced by Rauner work? 2015-01-22T05:00:00Z But this is precisely why investment advisers tell us to diversify, diversify, diversify, and invest for the long term. No, cheap oil prices probably won’t crash your 401(k) 2015-01-20T05:00:00Z Private equity firms are typically registered only as investment advisers, so submitting to broker-dealer regulation would result in more frequent examinations and more rules. Kicking Dodd-Frank in the Teeth 2015-01-10T05:00:00Z Between now and the end of the year, you’ll hear lots of pundits and investment advisers urge you to rebalance your portfolio. Should You Bother To Rebalance Your Portfolio? 2014-12-18T05:00:00Z The conference will be held in San Diego January 28-31 with three days of presentations and workshops designed to help the investment advisers better serve their clients. Magic Johnson, ex-defense secretary headline event 2014-12-14T05:00:00Z An arrangement similar to the one Rauner announced with Roundtable would likely not pass muster, given his ties to the investment adviser. How do 'blind trust' procedures announced by Rauner work? 2015-01-22T05:00:00Z Vertical is registered with the S.E.C. as an investment adviser and counts mostly institutional investors as clients, regulatory filings show. Hedge Fund Kept U.S. Inquiry Quiet 2014-12-06T05:00:00Z Wallin, an investment adviser, certified personal accountant and certified financial planner at Atlas Financial in Richmond, Virginia. How to Offer Financial Advice to Your Adult Child 2014-12-04T05:00:00Z The settlement triggered a number of SEC "bad actor" rules that automatically disqualify companies and individuals from participating in certain activities, such as raising private capital or acting as an investment adviser. U.S. SEC's Stein says Bank of America waiver policy is 'breakthrough' 2014-12-04T05:00:00Z A federal jury on March 25 found Bloom guilty of 18 counts of wire fraud and one count of investment adviser fraud, deliberating less than two hours after a four-week trial. U.S. says ex-Sentinel CEO deserves 20 years in prison for $666 million fraud 2014-12-02T05:00:00Z Northern Trust of the District appointed Paul Veith senior vice president and senior investment adviser. Washington-area appointments and promotions for Nov. 3 People who adhere to the fiduciary standard are called registered investment advisers, or RIAs. Find a financial adviser who will put your interests first Regulations require that registered investment advisers put their clients’ interests ahead of their own and that they operate under what is also known as a fiduciary duty. Behind Private Equity’s Curtain 2014-10-18T04:00:00Z At your age, a big market loss represents a tolerable drop in your true lifetime wealth, says investment adviser William Bernstein. Millennials Actually Have an Edge on Retirement 2014-10-16T04:00:00Z Fidelity Portfolio Advisory Service® is a service of Strategic Advisers, Inc., a registered investment adviser and a Fidelity Investments company. FidelityVoice: The Pros' Guide To Diversification: 3 Steps To Keep Your Portfolio On Track 2014-10-02T04:00:00Z Nicholson, 48, was sentenced in October 2010 after pleading guilty the prior December to securities fraud, investment adviser fraud and mail fraud charges. Judge refuses to cut New York fund manager's 40-year Ponzi sentence 2014-09-22T04:00:00Z The company priced its initial public offering of stock at $68 per share on Thursday, the top end of the expected price range, according to IPO investment adviser Renaissance Capital. Alibaba prices IPO at $68 per share 2014-09-18T04:00:00Z “The SEC let the firm continue as an investment adviser while the agency considers a permanent waiver.” Too big to punish: Why America’s banks are still above the law 2014-09-18T04:00:00Z These trusts generate fees for: the lawyers who write the documents; professional trustees who run the trust after someone passes away; and investment advisers who manage the trust assets. IRAs And Trusts: What You Need To Know 2014-09-04T04:00:00Z "This case sends an important message to investment advisers that they must put the needs of their clients before their own," Andrew Ceresney, the SEC's enforcement director, said in a statement. U.S. jury gives SEC quick win in fraud case against Boston adviser 2014-08-14T04:00:00Z “In this state, some people are just getting wealthier,” said Joseph J. Piazza, chairman and chief executive of Robertson Stephens L.L.C., a San Francisco investment adviser that manages about $500 million using software from Addepar. Wealth Managers Enlist Spy Tools to Map Portfolios 2014-08-03T04:00:00Z I started to write about all of these dilemmas through blogs and books, and eventually I became an investment adviser. Slow And Steady: An Investment Advisor's Advice For Young Wealth Builders 2014-08-01T04:00:00Z That business sells Goldman-sponsored products to retail clients through large brokerages and registered investment advisers. Exclusive: Goldman moves executive to new role building ETFs 2014-07-28T04:00:00Z Brokers receive more frequent audits and examinations — only 9 percent of investment advisers are examined annually, compared with 55 percent of broker-dealers — and face capital requirements and greater legal liabilities. Private Equity’s Free Pass 2014-07-26T04:00:00Z His customers' accounts totaled about $100 million in assets, almost all of which were managed by First Wilshire Securities Management, an investment adviser in Pasadena, California. U.S. jury gives SEC quick win in fraud case against Boston adviser 2014-08-14T04:00:00Z There were plenty of parallels between the two worlds, but instead of agencies, spies and eavesdropping satellites, finance has markets, investment advisers and portfolios. Wealth Managers Enlist Spy Tools to Map Portfolios 2014-08-03T04:00:00Z After all, Mark Hulbert recently penned a terrific column for The Wall Street Journal entitled, “Look Who’s Beating the Market. How three investment advisers bested the S&P 500 over the long haul.” The Prudent Speculator Has Something To Say About Market Efficiency 2014-07-10T04:00:00Z Federal securities laws contain so-called "bad actor" provisions which automatically disqualify companies and individuals from participating in certain activities, such as raising private capital or acting as an investment adviser. Exclusive: SEC official dissented on BNP Paribas waiver 2014-07-03T04:00:00Z Yet none of the firms’ investment adviser filings say they conduct broker-dealer activities. Private Equity’s Free Pass 2014-07-26T04:00:00Z The financial services world is split between investment advisers and broker-dealers. FINRA Supports Regulation to Quell Competition 2014-06-29T04:00:00Z Securities and Exchange Commission to no longer be an investment adviser, following the firm's guilty plea. U.S. seeks more than eight years prison for SAC's Martoma 2014-06-27T04:00:00Z The Securities and Exchange Commission's order, stipulating that SAC will stop being an investment adviser on June 30, was widely expected after the government prohibited the firm from managing money for outside clients. SAC Capital to move to smaller, family-based office in accord with SEC 2014-06-27T04:00:00Z The order states that as of Dec. 31, 2015, SAC’s registration as an investment adviser will be revoked. Prosecutors Seek Sentence of at Least 8 Years for Mathew Martoma 2014-06-27T04:00:00Z Q: What is the difference between an investment adviser and a financial planner? SEC Q&A: What Is The Difference Between An Investment Adviser And A Financial Planner? 2014-06-25T04:00:00Z Only financial advisers who are fiduciaries — registered investment advisers, certified planners and some accountants — will take legal responsibility for their advice and put your needs above theirs. The One Reason to Nix A 401(k) Rollover to a Broker 2014-06-25T04:00:00Z The ruling extends the protections to investment advisers, law firms, accounting firms and other such businesses. U.S. high court bucks pro-business trend this term 2014-06-25T04:00:00Z A jury in December found Balboa, 45, guilty of securities fraud, wire fraud, investment adviser fraud and two counts of conspiracy, after an earlier trial ended in a mistrial. Ex-Millennium Global manager gets four years in prison over fraud 2014-06-23T04:00:00Z Online investment advisers are raising funding rapidly, too. Wealthfront Hits $1 Billion Milestone 2014-06-04T04:00:00Z This document answers some of the typical questions we receive from investors about investment advisers. SEC Q&A: What Is The Difference Between An Investment Adviser And A Financial Planner? 2014-06-25T04:00:00Z He has a large following on Wall Street, according to the investment adviser Joshua M. Brown. Insider-Trading Inquiry Could Rattle Icahn's Efforts to Shape His Legacy 2014-06-01T04:00:00Z The two dozen investment advisers on staff now is about three times fewer than similarly sized large pension funds, Cowell’s office said. NC treasurer: cut in authority might be good idea 2014-05-24T04:00:00Z You can also work with a certified financial planner or registered investment adviser. Juice Up Your 401(k): Three Powerful Tips 2014-05-23T04:00:00Z Prim, based in Independence, Ohio, was from 2001 to 2013 the primary outside investment adviser for the National Basketball Players Association, assisting in managing up to $250 million of the union's assets. NBA union finance adviser gets house arrest for obstructing probe 2014-05-21T04:00:00Z A: Most financial planners are investment advisers, but not all investment advisers are financial planners. SEC Q&A: What Is The Difference Between An Investment Adviser And A Financial Planner? 2014-06-25T04:00:00Z Our financial lives are littered with fees: for buying a home, hiring an investment adviser, putting money into mutual funds. You're Paying Too Much in Fees 2014-05-10T01:19:19Z Ms. Lapin said the school is already asking its investment advisers to review endowment holdings and sell stocks of coal companies. Stanford to Purge $18 Billion Endowment of Coal Stock 2014-05-07T00:10:26Z It’s by William J. Bernstein, an investment adviser and author on financial subjects, who is making it available free as an e-book, no strings attached, on his website. Strategies: A Path to Retirement, for Those Far From It 2014-05-03T16:29:37Z I am reminded of a caveat that comes with strategic-planning statements from investment advisers when quoting fund performance: past performance is no guarantee of future performance. Readers Respond to "In Tech We Don't Trust" 2014-04-25T11:30:00Z Each year, the company hears from dozens of investment advisers just like Mr. Kurtz who are in the middle of their own reckoning about how they want to do business. Your Money: The Re-education of a Brash Young Stock Picker 2014-04-18T21:12:06Z As part of a plea deal, SAC Capital and related companies will cease operating as investment advisers, . Court accepts $1.8bn SAC plea 2014-04-11T09:06:39Z That’s more than double last year’s figure, according to IPO investment adviser Renaissance Capital. Here’s Why GrubHub’s Stock Market Debut Really Matters 2014-04-04T16:56:47Z The third and fourth panels will focus on cyber issues facing exchanges, broker dealers, investment advisers and transfer agents. White House, Treasury officials to appear at SEC cyber security event 2014-03-24T19:47:02Z An investment adviser from Wedbush Securities requested a shareholder list from the end of the year and tallied them up. DealBook: Questions Over Goldman Deal as Investors Sit in the Dark 2014-03-19T16:46:56Z Today, investment advisers are offering portfolios consisting entirely of ETFs. The market maker: Reggie Brown of Cantor Fitzgerald and the $2.4 trillion ETF boom 2014-03-14T13:50:48Z Supreme Court ruled on Tuesday that whistleblower protections apply broadly, saying that employees of subcontractors, including investment advisers, law firms and accounting firms, should also be protected from employer retaliation. U.S. justices extend employee whistleblower protections 2014-03-04T18:20:36Z “Save for yourself, and earmark it for education,” said Mitchell Reiner, an investment adviser near Atlanta. Retiring: Save for Retirement First, the Children’s Education Second 2014-02-28T20:29:39Z “The broker-dealer and investment adviser registration provisions are core protections for investors,” Andrew J. Ceresney, director of the S.E.C.’s enforcement division, said in a statement. DealBook: Credit Suisse Admits Wrongdoing in S.E.C. Case 2014-02-21T22:30:20Z The Securities and Exchange Commission leveled civil charges against a New York investment adviser for allegedly misleading investors through his publications and messages on Twitter. SEC Fines Investment Adviser Over Tweets 2014-01-31T14:21:39Z The SEC's upcoming 2014 review of cyber security policies at asset managers will be conducted as part of the agency's routine examinations of investment advisers and investment companies, such as mutual funds. SEC examiners to review how asset managers fend off cyber attacks 2014-01-30T19:41:23Z Last year, it examined only 9 percent of the 11,000 investment advisers it regulates. Congress slashes SEC’s funding for technology upgrades 2014-01-17T00:47:55Z Last year, for instance, it examined only 9 percent of the 11,000 investment advisers it regulates. Congress slashes SEC’s funding for technology upgrades 2014-01-17T00:47:55Z Bryan Elliott, a restaurant analyst with Raymond James, an investment adviser, reckons that the casual-dining chains will not see much respite until America’s middle classes have more money in their pockets. Restaurant chains: The activists’ cookbook 2014-01-16T16:00:02Z The move will greatly expand Dundee's wealth management unit giving the firm more than 100 investment advisers across Canada managing portfolios valued at more than $6 billion. Dundee to expand wealth management business 2014-01-13T21:24:25Z Prim, based in Independence, Ohio, from 2001 to 2013 was the primary outside investment adviser for the National Basketball Players Association, assisting in managing up to $250 million of the union's assets. Financial adviser convicted of obstructing NBA union contract probe 2013-12-11T22:33:14Z The markets can handle a "small taper," St. Louis Fed President James Bullard, a policy centrist, told a group of investment advisers this week. For Fed, delivering a message on policy path is new focus 2013-12-11T15:37:50Z Josh Brown, an investment adviser and trenchant financial blogger, posted a this morning from an unnamed reader who invests institutions’ money. The Hedge Fund Way: Pay More, to Get Less, and Be Unable to Access Your Money 2013-12-06T17:35:20Z “Everyone is still looking at the Fed beginning to reduce its bond purchases sometime next year,” said Kate Warne, a research principal at investment adviser Edward Jones. Dow Up 200 Points as Hiring Gains Continue 2013-12-06T19:13:13Z "I've got to believe that with the baby boomers passing on and leaving their IRAs for inheritances," the issue is one that "investment advisers will be discussing with their clients," Morgan said. U.S. high court to chart fate of inherited IRAs in bankruptcy 2013-11-26T21:39:16Z As a compliance officer, Gilchrist has examined broker dealers, investment advisers and other entities for the SEC since 1996 to assess whether they are adhering to federal securities law. SEC worker is charged with making false statements about his financial holdings 2013-11-20T00:46:44Z SAC, once a $14 billion hedge fund, agreed November 4 to cease acting as an investment adviser as part of a plea deal. SAC Capital's Steinberg faces insider trading trial 2013-11-18T06:08:22Z “Clients are looking for long-term investment help to see them through this time of elevated volatility,” said Jennifer Cumming, a senior investment adviser at the bank. Community banks respond to rising demand for wealth management services 2013-11-03T20:48:00Z Rosenberg passed along tips to investment advisers at two hedge funds, who also traded on the information, the complaint said. SEC sues investor over alleged Carter's insider-trading scheme 2013-10-30T00:13:38Z The bill calls for the SEC to undertake additional study before writing any new rules to harmonize standards between investment advisers and stock brokers to determine whether regulatory changes would help or hurt retail investors. U.S. House passes bill to delay fiduciary rules at SEC, Labor Dept 2013-10-29T22:33:39Z An agreement to stop operating as an investment adviser is one feature of a larger agreement SAC is negotiating as it seeks to resolve insider trading charges, according to people briefed on the case. PRESS DIGEST- New York Times business news - Oct 18 2013-10-18T04:47:35Z Academics call it confirmation bias; investment advisers call it boneheaded. Behavioral economics show that women tend to make better investments than men 2013-10-11T14:14:34Z The SEC is seeking to bar Cohen for life from serving as an investment adviser. Government to Steven Cohen: Give Us $1.8 Billion 2013-10-08T20:45:40Z Securities law requires investment advisers to act in their clients' best interests when making investment decisions. Many U.S. investment advisers fall short on record-keeping: study 2013-10-07T22:11:23Z The Dodd-Frank law required the SEC to study whether it should harmonize two different standards of care for stock brokers and investment advisers. U.S. House passes bill to delay fiduciary rules at SEC, Labor Dept 2013-10-29T22:33:39Z A Texas native who moved to San Francisco in the fall of 2012, Ulbricht listed himself as an “investment adviser and entrepreneur” on his LinkedIn page, though there is no mention of current employment. Who Is Ross Ulbricht? Piecing Together The Life Of The Alleged Libertarian Mastermind Behind Silk Road 2013-10-02T21:56:00Z REDI's main clients are hedge funds, brokers and institutional investors, but registered investment advisers and asset management offices for wealthy families also are potential clients, said Rishi Nangalia, chief executive of the firm. Citadel, ex-Goldman unit in deal to create seamless order passage 2013-09-25T12:59:55Z Several ex-colleagues point out that Fuld’s desire to refashion himself as an investment adviser is hampered by his lack of any significant experience in arranging mergers and acquisitions; he began his career trading bonds. Where Is Dick Fuld Now? Finding Lehman Brothers' Last CEO 2013-09-12T10:59:26Z "We are being held to a standard that's not being applied to other newsletters, publications or investment advisers," Burger said. Exclusive: T. Rowe bans some American Airlines employees from fund trading 2013-08-26T10:01:52Z The traditional view of farmland, from the farmer to the agricultural economist to the investment adviser, is, as Mr. Ade put it, “an inflation-proof bond.” Wealth Matters: Despite Drop in Commodity Prices, Farmland Values Rise 2013-08-16T15:37:37Z At the end of last year, VC firms had returned an average of 7.4 percent a year over the previous decade, trailing every major U.S. stock index, according to investment adviser Cambridge Associates. Venture Firm Greylock Partners Outshines Silicon Valley Rivals 2013-07-25T22:40:44Z Nearly one in four denizens of The Street—traders, portfolio managers, investment bankers, hedge fund professionals, financial analysts, and investment advisers—say “they had observed or had firsthand knowledge of wrongdoing in the workplace.” Greed Is Rampant on Wall Street 2013-07-17T10:50:26Z Today, as a registered investment adviser, he said he advised clients to consider buying fixed annuities over time to accomplish the same goal of guaranteeing income in retirement. Wealth Matters: That Bland Annuity Notice May Be Anything but Routine 2013-07-12T18:25:05Z Jason Kreisberg, a microbiologist turned freelance science editor based in San Diego, California, gained his current biotechnology client through contacts with an investment adviser to whom he had casually spoken at an alumni event. Networking: Real connections 2013-07-10T17:21:26.003Z Many investment advisers who attribute gold’s sharp drop to an improving economic outlook say they expect the price to fall further, but even some who are less optimistic about the economy recommend shunning it. Gold’s One Certainty: Its Decline Has Been Swift 2013-07-06T17:59:19Z |
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