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.
Advisory firms are adopting virtual or hybrid programs, or changing the structure of internships to pull in more diverse students and illustrate a wider array of career opportunities.
Warren Anderson, who’s based in Littleton, Colorado, had been affiliated with Schwab since 1999.
The unit, called 23 Wall, is led by JPMorgan veteran Andy Cohen and focuses on about 700 families worth more than $4.5 trillion.
The retirement plan for federal government workers also includes numerous Christian and 'pro-life' funds that would seemingly be affected by the legislation.
Austin Dutton last week lost an industry arbitration claim of $43,645 to a client related to sales of GWG bonds.
Fidelity's alts platform, which launched in 2013, has seen assets grow by 70% since 2020.
Mike Fanning is retiring after 17 years as the insurer's US head, a period in which MassMutual grew into one of the top annuity providers in the US.
The measure seeks divestment of an estimated $15 billion from oil and gas companies by CalPERS, CalSTRS.
Legislators have less than a week to approve the agreement before the default deadline next Monday, June 5.
