Carl Ayers
If you could wave a magic wand and make one change to improve the industry, what would it be? We posed that question to your ...
David Trujillo owes his job to what a security guard spotted in the parking lot of his firm’s office. A competitor sat in a car ...
Arguments are scheduled next week in a federal court case in Washington, D.C. that could negate the SEC’s ability to hold investment advisers to its ...
Amerivest Investment Management ($7.4B in AUM) in Omaha, Neb., has so much confidence in its subadviser, Morningstar Associates ($12.8B in AUM) in Chicago, that it’s ...
A rash of recent cases demonstrates the risks in tacking on excessive fees in addition to commissions (IA Watch, Aug. 19, 2014). Anthony Blumberg, the ...
This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...
The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request ...
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...