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1. • Retirement Industry People Moves – 5/17/24 | PLANADVISER

     PLANADVISER· 4 days ago

     Mercer Global Advisors Inc., a registered investment adviser firm, announced that Martine Lellis, currently the chief ...

2. • 

     Is Fidelity A Fiduciary To Your Money? What You Need To Know

     247wallst.com· 4 days ago

     Fidelity Investments is a fiduciary when it works in an investment adviser capacity. Fidelity’s ...

3. • Investment adviser Jeffrey Slothower of Southampton found guilty of fraud

     Newsday· 5 days ago

     Jeffrey Slothower, 46, a former registered investment adviser and founder of Battery Private, an investment advisory

4. • 

     Waverly snaps up $310M advisory firm in Georgia - InvestmentNews

     InvestmentNews· 5 hours ago

     The deal gives the growth-focused RIA’s 20th location in the US, and its 14th transaction since...

5. • Todd Millay

     GBH News· 2 days ago

     Todd Millay is the Managing Director of Choate Investment Advisors. In connection with overseeing the investment strategy and day-to-day ...

6. • 

     Ex-Advisor Convicted of Swindling Couple Out of $1M | ThinkAdvisor

     ThinkAdvisor· 2 days ago

     A former New York registered investment advisor faces a potential 30-year sentence after being...

7. • ...Client Alert: A Second Wave: FinCEN and SEC Further Extend Investment Advisers’ AML Obligations...

     JD Supra· 2 days ago

     In a sequel to FinCEN’s proposal earlier this year to extend anti-money laundering and Bank Secrecy Act regulations to investment advisers (AML/BSA Proposal), on May 13, 2024 ...

8. • 

     Penn Mutual Expands Leadership

     Clearfield Progress· 1 day ago

     The Penn Mutual Life Insurance Company (Penn Mutual) is pleased to announce the expansion of our Enterprise Leadership Team, with key appointments in...

9. • 

     Mercer Moves Chief Talent Officer to M&A Role

     WealthManagement.com· 7 days ago

     Mercer Global Advisors, one of the largest and fastest-growing registered investment advisors in the nation with over ...

10. • 

      SEC Fines Financial Advisor for Undisclosed Conflicts Related to Film-Production Company

      Barron s Online· 6 days ago

      The Securities and Exchange Commission has fined a New York registered investment advisor firm and...