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Financial Planning
November 1, 2005 |
On the Job William L. Anthes, former president and CEO of the National Endowment for Financial Education, will begin a three-year term on the Financial Planning Standards Board... AIG Advisor Group has named Brett A. Ishler director of investment products and research... etc.   |
Investment Advisor
April 2008 |
Changes New York Life Insurance Company named Ted Mathas as CEO-elect... Prudential Retirement appointed James Cornell as senior VP and chief marketing officer... Vanguard's Board has elected William McNabb as its new president... etc. |
Investment Advisor
December 2007 |
Changes The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners... New York Life Investment Management appointed David Bedard as senior managing director... etc. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Investment Advisor
August 2008 |
B/D News & Products Pali Capital, Inc. announced that Joseph Schenk has joined the firm as COO... Fidelity Investments named Daniel Petrozzo as CIO... LPL Financial Corporation has appointed Brad Cornell as senior VP of sponsor relations... etc. |
Investment Advisor
March 2010 |
Changes Personnel moves: Schwab Advisor Services executive David Welling joins Black Diamond... William Warmington joins Raymond James as a senior analyst... Securities and Exchange Commission announces appointment of Thomas Sporkin... more... |
Investment Advisor
January 2008 |
Changes National Financial Partners named Daniel Young president and COO of NFP Securities, Inc., NFP's broker/dealer... The Securities and Exchange Commission named John Loesch deputy director of the agency's Office of Investor Education and Advocacy... etc. |
Investment Advisor
March 2009
Kara P. Stapleton |
Changes People on the move. |
Investment Advisor
January 2007 |
Briefs The SEC announced that Charles Fishkin... Frank Tauches was named president of American Portfolios Financial Services... Aston Asset Management is now the advisor to 19 no-load mutual funds... etc. |
Financial Planning
August 1, 2007
Marshall Eckblad |
On The Job AXA Advisors has promoted Andrew McMahon to chairman... Boston-based Fidelity Investments has hired Jylanne Dunne... etc. |
Financial Planning
March 1, 2005
Jennifer A. Liptow |
On the Job Mark Davis has joined the Washington staff of the Financial Planning Association... John Hancock Life Insurance in Boston has appointed William J. Cuff... New York Life Insurance has appointed Janett C. Greenberg... etc. |
Investment Advisor
August 2006 |
Changes Kathleen Casey was confirmed by the Senate to replace the departing Cynthia Glassman as an SEC Commissioner... AIG Financial Advisors, Inc. has named Lisa Bredeson as senior VP and COO... etc. |
Investment Advisor
August 2008 |
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... |
Investment Advisor
June 2007 |
Changes The CFP Board named Kevin Keller as its CEO... FAF Advisors, Inc. has named Frank Wheeler as its new head of distribution... T. Rowe Price Group has appointed Cynthia Egan as president of T. Rowe Price Retirement Plan Services... etc. |
Registered Rep.
February 1, 2013
Diana Britton |
Comings & Goings: February 2013 The Financial Services Institute tapped Kathryn Anderson as its new director of corporate relations... Mary Jo White is the new chair of the Securities and Exchange Commission... Douglas King will become president and CEO of Cetera Advisor Networks... |
Financial Planning
July 1, 2007
Marshall Eckblad |
On The Job Lincoln Financial Group in Philadelphia has promoted Terry Mullen to president... National Financial Partners in New York has appointed James Gelder... etc. |
Investment Advisor
March 2007 |
March 2007 UBS announced the appointment of Michael Roberts as managing director... T. Rowe Price named Steven Huber as a senior portfolio specialist... etc. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Registered Rep.
October 28, 2008
Halah Touryalai |
AIG B/Ds Looking for a New Home. Any Takers? Now that its parent has announced plans to sell off portions of itself, the AIG Advisor Group is looking for a new home. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
Insurance & Technology
June 14, 2005
I&T News |
Executive News Penn National Restructures... Fiserv Moves... OneBeacon COO... AdminServer CMO... |
Investment Advisor
October 2007
Kara P. Stapleton |
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc. |
Investment Advisor
February 2008 |
Retirement News & Products Social Security remains a significant source of retirement income... More than half of Americans say they can't afford to save or are saving inadequately... Employers can now legally eliminate or reduce health benefits for retirees when they reach age 65 and become eligible for Medicare... etc. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
BusinessWeek
August 1, 2005
Gene G. Marcial |
Is AIG Turning A Corner? It is increasingly likely that AIG will recapture business momentum, driving stock prices up. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
Financial Planning
December 1, 2007 |
On the Job Eaton Vance has promoted Thomas E. Faust to chairman... Genworth Financial has named Michael Abramowicz director... etc. |
Registered Rep.
August 23, 2009
Halah Touryalai |
AIG Advisor Group NOT For Sale, New CEO Says After almost a year of looking for the right buyer, AIG's broker/dealer reps were told that they would not be sold. |
Investment Advisor
October 2008
James J. Green |
When Big Is Better Larry Roth, CEO of the AIG Advisor Group, believes that in these troubled times, being big is quite an advantage. |
Financial Planning
October 2, 2007
Dakin Campbell |
The Bond Buyer Market fallout hits muni bond mutual funds. |
Registered Rep.
September 15, 2008 |
AIG Stays Afloat -- For Now The firm has been allowed to lend itself $20 billion for daily operations by borrowing against its own assets. In the meantime, the Fed has hired Morgan Stanley to help it assess its options for keeping AIG afloat. |
Registered Rep.
August 30, 2005
John Churchill |
Retaining Those Pesky Emails Morgan Stanley is in for what could be a $10 million fine from the SEC for failing to retain emails, according to a report. |
Insurance & Technology
April 24, 2009
Anthony O'Donnell |
AIG Names Winter Vice Chairman, Hurd VP and Chief Administrative Officer The two executives will pay key roles in AIG's efforts to restructure its businesses and repay the government assistance the company has received, according to AIG CEO Ed Liddy. |
The Motley Fool
June 19, 2008
Rich Duprey |
Finally, Money for Auction-Rate Securities A new product may finally save investors stuck with frozen auction-rate securities. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
Investment Advisor
February 2008
Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. |
