Barry Simmons is at least the third senior wealth management executive Wells Fargo has hired in the last few years from JPMorgan.
Kristie Edling-Day will oversee digital experience for advisors, while Nitesah Ambastha will lead technology for investors.
The legislation would force the SEC to calibrate compliance costs for small and growing businesses, including advisory firms.
Banks' interest is growing in the evolving technology of artificial intelligence and its likely impact on their business.
Mary Beth Franklin's show on Maryland Public television will offer guidance not only for individuals currently nearing retirement age, but also those caring for aging relatives or facing changes in their marital status.
Forty-two percent of the young adults surveyed say they’re living paycheck to paycheck, and only 33% say they could handle an unexpected major expense.
The deal now heads to the Senate, where approval is virtually certain; Senate GOP leader Mitch McConnell said the measure could be voted on as soon as Thursday.
The bank aims to almost double its profit from wealth management through asset growth, more lending and expanding markets, co-president Andy Saperstein said at a conference.
The state is poised to go much further on emissions reporting than the Securities and Exchange Commission.
Shah, formerly CEO of Personal Capital, will replace Larry Raffone, who will transition to become chairman of the board.
The trio will affiliate with Jericho, New York-based American Investment Planners, Cadaret Grant's largest branch.
The money from fines, along with funds from its reserves and excess operating revenue, allowed the regulator to finance $111.4 million in projects to improve its examination and enforcement efforts.
With its deal for Spring, which provides businesses with financial wellness benefits for employees, Mariner is launching a Financial Wellness division.
Irvine-based JRL Capital Corp. reported total assets of $43,000 and total investor claims against the firm of $2.5 million.
The $1.4 trillion fund company continues to grow through acquisitions in a shrinking category.
Wexford-based Individual Financial Services, which oversees $400 million in assets, had left LPL for Cambridge in 2015.
Protecting investors from fraudulent, misleading or otherwise problematic electronic communications seems to be of the utmost importance to regulators.
The acquisition is the latest in a string of deals for UK-based Smart, including its purchase last year of Stadion Money Management.
The settlement with the SEC follows Carrie Tolstedt's agreement in March to plead guilty to obstructing a problem of the bank's practice of opening accounts for customers without their authorization.
Warren Anderson, who’s based in Littleton, Colorado, had been affiliated with Schwab since 1999.
