The Securities and Exchange Commission says the firm knew that hackers were trying to access participant accounts but didn’t report them.
These charts are based on data from Refinitiv Lipper, an LSEG business, and reflect data through March 31.
Aaron Sehl and Vincent Feijoo set up FS Financial in Southington, Connecticut.
The acquisition will expand the Pennsylvania-based Great Valley Advisor Group’s footprint to New England.
Tia Counts will fill the new international position based in London, and is responsible for aligning MSCI’s diversity, equality and inclusion goals.
Integer Wealth Advisors will become part of Focus-owned JFS Wealth Advisors.
A father-and-son duo in Sarasota, Florida joins the firm’s employee channel.
One industry group is now calling on Finra to end the remote hearings it says are harming investors. Two hundred and sixty-three hearings have been conducted remotely as of the end of March.
The heads of the Senate and House committees overseeing labor want to know whether TDFs are working as advertised.
Get the stats on this year’s 40 Under 40 honorees, including their favorite social media platforms, which designations they’ve earned and how many hours they work each week.
