The Latest

Tim Koch is a member of the consulting firm FinPro’s board of directors and an emeritus professor of finance at the University of South Carolina.

Scott Hein is a member of the consulting firm FinPro’s board of directors and an emeritus professor of finance at Texas Tech University.

Debbie Goldstein is executive vice president at the Center for Responsible Lending, a nonpartisan, nonprofit research and policy organization dedicated to protecting family wealth by fighting predatory financial practices.

Patrick Truesdell is the director of SEC reporting and budgeting at a publicly traded biotech company in San Diego, and also the founder of Public Company Community, which offers resources, education, free CPE and more to professionals working in or with public companies.

The broker-dealer failed to supervise Infinex registered reps selling annuities and other products to seniors and other investors at local banks.

Six of the top 10 advisor recruits — managing roughly $13.2 billion in client assets — have walked out of the wirehouse so far this year.

These mega brokers managed $18 billion in assets at their previous firms.

Rajaie Batniji is co-founder and chief health officer at Collective Health, a provider of workplace health management systems.

Inflows have slowed? Actively managed funds would like to have that problem.

One manager’s new group of funds will launch in collaboration with leading nonprofits.