Atkins had oversight for Florida, Atlanta, New Orleans.
Mr. Moisand was president of the Financial Planning Association in 2005 when it sued the SEC over the so-called Merrill Lynch rule, which exempted fee-based brokerage accounts from falling under the Investment Advisers Act of 1940.
Clients should be sitting on some cash — and should not be fully invested
The longer we wait, the more painful the solutions will be.
Claiming strategies for married couples to get the most bang from the government's buck.
Judge denies most claims; next stop is Finra arbitration.
A brother and sister team with strong family ties to Salomon Smith Barney have left Morgan Stanley to go indie. The brokerage, said the brother, 'wasn't the same company we grew up with'.
Amendment would require Labor Department to work with SEC on revised standard
An attorney for brokers who left John Thomas Financial claims Finra is probing whether the brokerage tried to intimidate the departed reps.
Troubles continue to mount for Thomas Belesis. According to BrokerCheck, Finra sent the celebrity B-D owner a Wells notice last month for allegedly running a pump-and-dump scheme.
Integrated technology leaves firms more time for client-interfacing activities and prospecting, not to mention makes them far more efficient.
SEC and Finra urge caution when buying or selling pensions, citing fears of extensive and unexpected costs.
Long-time executive had most recently been lobbying in Washington for independent broker-dealers
Frank Abagnale says more education — not regulation — is needed to protect elderly; '4,000 times easier'
Charitable work recognized during annual ceremony in New York
America's oldest citizens don't have an effective way to choose a financial adviser they can trust, and are confused by the alphabet soup of certifications that claim to be focused on seniors.
Seen as bigger problem than in the past; 'much worse'
Chairman and CEO of Silvercrest Asset Management, which advises families, endowments, foundations and other institutional investors and had $14.6 billion under management, had raised more than $1 million for the Robert L. Fine Cancer Research Laboratory Foundation.
