Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.
Dozens of tips over three years were passed from an ex-Bank of America consultant to his girlfriend's father.
How to start a newborn on the road to retirement, VanEck files for a bitcoin ETF, and eMoney opens a Rhode Island office.
Girard is the latest firm to deregister its broker/dealer and join a larger firm as an OSJ, shedding regulatory and operational burdens. The DOL rule was the tipping point. "I don't know how in the world we could have done it as a small firm."
The independent broker/dealer's 4,400 advisors are expected to make the transition to Fidelity's clearing platform in mid-2018.
This is Mercer’s eighth acquisition in the last 17 months.