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 — 6:09 PM UTC

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 — 10:22 PM UTC

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 — 4:52 PM UTC

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 — 5:38 PM UTC

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 — 11:17 PM UTC

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 — 5:30 AM UTC

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

November 13, 2013 — 5:03 PM UTC
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