The Latest

Roger Hatfield is vice president of North America for CloudTrade.

While the bulk of the money flowed into products that track indexes, more than $50 billion was absorbed by active funds.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

The former broker, who pleaded guilty to securities fraud last month, allegedly promised clients returns of up to 15% and used proceeds for personal expenses.

Proponents of defined-contribution plans envisioned them as supplements to defined benefit plans; they didn't anticipate that 401(k)s would largely replace pensions.

High-value targets include client names and account numbers. Protecting the information can also protect an advisory practice from regulatory penalties.

Bonnie Buol Ruszczyk is president of the Accounting MOVE Project and of bbr companies, where she provides strategic guidance, project management and serves as an outsourced marketing director. She is also co-owner of Rally Rounds mastermind groups, which provides support, ideas, and accountability for accounting growth professionals. She is also a Cornell-certified DEI consultant, and the owner of the Accounting MOVE Project, the only annual benchmarking research and advocacy report that equips accounting firms to detect, develop and drive competitive advantages from diversity initiatives and trends. 

These popular choices for asset allocation also have a history of solid performance.

Holly Russo, RN, MSN, MS, ECS, has nearly 40 years of experience in the healthcare industry and currently serves as the president and CEO of PatientCraft.

The regulator accused the rep of writing 38 checks totaling $46,280 from two personal J.P. Morgan bank accounts that it claims did not have sufficient funds to cover the checks.