Howard B. Present “acted in good faith” when he led F-Squared Investments, the firm that said it misled clients about its investing track record during his tenure, lawyers for the former executive said in court filings.
Regardless of how the high court rules, ongoing investment monitoring will be here to stay.
New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.
David Cacchione almost got a second chance at a career in the securities industry through a registered investment adviser.
Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.
Subcommittee set to vote on funding as adviser group hits Capitol Hill to lobby for more
Chairwoman says agency is considering augmenting adviser exams with third-party audits.
The agency's Investor Advisory Committee recommends making it easier for investors to track securities violations by advisers and brokers, regardless of who regulates them.
Republicans stand alone as a barrage of letters flood Capitol Hill aimed at stalling the pending rule – at least, for now.
Lynnda Speer, widow of a Home Shopping Network co-founder, alleges excessive trading and negligent supervision by Morgan Stanley in an arbitration claim.
Rep. Ann Wagner says proponents are 'offering a solution in search of a problem.'
President quoted Sheryl Garrett, founder of an hourly fee network, in supporting fiduciary standards.
Former Wells Fargo Advisors broker charged with stealing nearly $89,000 and using it for personal expenses.
Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.
As senators invite the public to contact them with ideas on tax reform, advisers should speak up
About 30,000 current and former annuity owners claim company failed to pay proper dividends on contracts sold 30 years ago.
Advisers with assets over $1 billion are outperforming their peers. Does your firm have what it takes to be a billion dollar baby?
Consumer groups say the agency has been preoccupied with market issues to the detriment of the public and needs to tighten adviser oversight.
Secretary Perez has confidence his agency will complete work on the rule before Obama's term ends.
Advisers need scalable, standardized and easily supervised risk management systems in light of increased regulatory scrutiny
