One of the few women leading a tech firm, Angela Pecoraro says she is working on keeping the firm nimble to react to new demands that could come from financial advisers, regulators or advancements in technology.
Takes enforcement action against firms taking money to tout stocks.
Expect rapid product innovation and growing demand in this area, along with considerable business opportunity
Explanations for removing a complaint from a broker's record range from a couple paragraphs to several pages, but critics still worry about the impact to investors of wiping a slate clean.
The plaintiff takes issue with a so-called "layering scheme" in BlackRock's fund structure, whereby a fund's underlying proprietary investments charge additional fees that "cannibalize" returns for employees.
Disciplinary proceedings will determine whether a firm or an adviser exerted undue influence over "vulnerable individuals or individuals with diminished capacity."
Firm says it will look for talent among teachers, entrepreneurs and former athletes.
Claiming rules have evolved since 2015 Supreme Court decision.
Regulators should launch a full-scale investigation into how to avoid putting firms into double jeopardy.
Sure, the delay of the DOL fiduciary rule is big news. But there are other important matters going on in Washington.
Credit Karma tries to break into the business with a $0 product.
Millennials are less likely to be married, living with children or own a home than their parents were at their age.
Distinguishing yourself from life insurance sales people leads to better working relationships and ensures your clients' best interests are served.
The lawsuit is the first among similar cases to proceed to hearings on summary judgment, and may be telling as to how future judges rule.
A fraud investigator shares tales from the dark side of human nature.
The bills are similar to ones introduced in the previous Congress, but failed to pass commitee.
The regulator sees difference in compliance levels between W-2 and affiliated advisers, says Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations.
The brain's limbic system leaves many advisers reacting to client questions about costs in fight-or-flight mode instead of with determined business practices.
Financial industry opponents continue their losing streak in court
