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Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

Author Lisa Shidler November 26, 2012 at 9:33 PM
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Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

RIA Compliance



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August 5, 2020 at 9:33 PM

Another A-list RIA Schwabbie lands on his feet -- this time at DeVoe & Co. -- after TD Ameritrade merger displacement of 2,000-plus

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May 10, 2024 at 1:29 AM

A canary in the coal mine, Amy Richardson left Charles Schwab & Co. for an RIA -- before the 2,000 layoffs -- now a robust job market is saving the Schwab diaspora, she says

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December 20, 2023 at 1:52 AM

Schwab 2,000-layoff aftershocks roil the industry as it's revealed top tech talent -- led by widely regarded veteran Kartik Srinivasan -- were axed, raising questions about future of Schwab innovation

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November 3, 2023 at 3:49 AM

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Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger

TD Ameritrade
Asset Custodian
Top Executive: Tom Nally



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