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Articles tagged "Mary Jo White"


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When Dave DeVoe (l.) started DeVoe & Co., Tim Kochis was on hand to advise. Now Kochis is managing director.
March 13, 2017 at 6:09 PM

Bo Lu: What's a phone?

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

Dawn Bennett: We weren't an RIA and weren't running our books like an RIA. We were an independent B-D and were doing it correctly that way.

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

Mary Jo White: Nine of 10 startups fail but an equally interesting statistic from one post-mortem analysis is that 70% of failed startups die within 20 months after their last financing and have raised an average of $11 million

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

David Chase: Enforcement cases will nonetheless be prepared the old-fashioned way by taking testimony and collecting documents.

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: I don’t believe in automation for client service.

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

Mary Jo White: Anytime you've got the same conduct regulated differently you need to take a close look and see what you should do.

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 at 5:03 PM

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