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The Securities and Exchange Commission has named Julie Riewe and Marshall Sprung as co-chiefs of the Division of Enforcements Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds.
July 2 -
Timothy Throckmorton will oversee and help grow the personal trust and estate administration business.
July 2 -
Mark Henneman and Ronald Kaliebe have been named lead managers of the Mairs & Power Growth Fund and Mairs & Power Balanced Fund respectively, effective July 1.
July 2 -
Broadridge Financial Solutions has agreed to acquire Bonaire Software Solutions, a provider of fee calculation, billing, and revenue and expense management solutions for asset managers including institutional asset managers, wealth managers, mutual funds, bank trusts, hedge funds and capital markets firms.
June 29 -
Hartford Funds has appointed three new advisor consultants to support its regional growth.
June 27 -
The Hartford Funds has named Brian Garrette and Michael Tobin divisional sales managers, overseeing the mutual fund company's south and west regions, respectively.
June 26 -
Janus Capital Group has appointment Jeff Pawliger as regional director with Janus' Advisor Solutions Group to spearhead the growth of Janus' intermediary distribution and sales in Southern Florida.
June 26 -
Advisors needs and wants are moving targets and mutual fund wholesalers must constantly adjust to if they want to hit the bullseye.
June 25 -
Mercer has made three senior-level appointments to its global investments and retirement units in Europe and in the emerging markets.
June 24 -
A South Florida man charged with running a $13.6 million scam involving nonexistent shares in companies including Facebook and Groupon was sentenced to 11 years in prison.
June 21 -
Classes may be coming to an end for millions of students this month but it is just beginning for one BlackRock executive.
June 21 -
T. Rowe Price Group has added former U.S. Senator Olympia Snowe (R-ME) to its board of directors.
June 21 -
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The addition of three sales directors in Miami, West Palm Beach and San Francisco are part of the wealth managers long-term campaign to boost its sales force by 50% by 2014.
June 21 -
After seven years with another independent broker-dealer, an Omaha, Neb,. team has returned to Securities America.
June 20 -
Christian Thwaites has stepped down as president and chief executive officer of Montpelier, Vt.-based Sentinel Asset Management to pursue other opportunities, according to the firm.
June 19 -
State Street Global Advisors, the investment research and trading arm for Boston-based State Street, said it will lose Global Equities CIO Alistair Lowe as it plans to transition toward combining various investment disciplines.
June 19 -
Paul Jablansky, the head of structured products at fixed-income manager Western Asset Management Co., has left the unit of Legg Mason.
June 19 -
Leawood, Ka.-based Montage Investments has been busy lately adding more sales executives, assets and a new mutual fund to boot.
June 18 -
The TCW Group has added Joseph Carieri as head of U.S. institutional distribution and marketing, responsible for all marketing activities and initiatives related to the institutional investor community.
June 17
