Articles tagged "Mary Jo White"
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After sticking his own succession landing, Tim Kochis bags 'retirement' and joins forces with DeVoe & Co. to help other RIAs do same
Tim Kochis helped David DeVoe with his business plan and may become a shareholder as soon as next year
March 13, 2017 at 6:09 PM
The odd and open courtship between the SEC and robo-advisors plays out again -- this time at an SEC-hosted webcast panel in Washington, D.C.
Mary Jo White introduced a forum with representatives from FutureAdvisor, Betterment and Personal Capital who mostly just nodded in assent at each other
November 15, 2016 at 10:22 PM
In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles
The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt
August 1, 2016 at 4:52 PM
Why crowdfunding is madness, but maybe not with an RIA at the helm
With its holier-than-thou pitches and self-dealing syndication fees, crowdfunding is really only good if you're the crowdseeker
April 26, 2016 at 5:38 PM
SEC launches elite unit with unspoken promise of technological parity with Wall Street
Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs
March 14, 2016 at 11:17 PM
Michael Bloomberg steals the SIFMA NYC show by putting his finger on a great robo shortcoming
The Bloomberg founder dismisses auto-advice amid human brokers who cheered SIFMA's ability to keep change in check
November 13, 2014 at 5:30 AM
After starring in New Yorker article, Mary Jo White holds SIFMA event spellbound and 'no-admit, no-deny' is still in play
The muscular prosecutor of security fraud and terrorism cases delivered roses -- and maybe some thorns
