JULY 8, 2021

SEC Charges Georgia Advisor for Selling Unregistered Funds That Lost Millions

Patrick Donachie

The SEC charged John Robert Jones Jr. for selling unregistered funds that eventually lost $2.6 million of clients' investments.

FULL ARTICLE

Sponsored by Morningstar

Our esteemed panel will discuss their findings from Morningstar's latest research paper, Biopharma ESG Risks from U.S. Pricing doesn't sway our valuation.

Technology

Altruist Adds BlackRock, State Street & Redwood To Model Marketplace

Samuel Steinberger

Six months after announcing its model marketplace the firm is expanding its provider list the list beyond DFA and Vanguard.

FULL ARTICLE

Industry

Genstar to Buy Majority Stake in Compliance Consulting Firm Foreside

Diana Britton

Compliance consulting and mutual fund distribution company Foreside, which itself has grown significantly through acquisition over the last two and a half years, has been acquired by private equity firm Genstar Capital.

FULL ARTICLE

Taxation of an Annuity Contract Purchased by a Trust

David A. Handler and Alison E. Lothes

IRS says it’s taxed as annuity, not ordinary income, in a recent PLR.

FULL ARTICLE

Industry

Merrill Team Jumps Ship for TruClarity-backed Independence

Asia Martin

Advisors Chad Goodchild and Jacob Schlict launched a New York-based firm called Kickstand Wealth Advisors.

FULL ARTICLE

Advertisement