SEC charges managers of three ETFs with failure to fully screen fossil-fuel, tobacco assets after assurances to investors, board
Veteran indie Thomas Folliard takes over from retiring Baron Capital president/COO Linda Martinson
ETF division head Patrick O’Connor replaces firm CEO Jennifer Johnson as interested trustee
Judge rules it is possible for board nominees to clear the higher threshold in proxy elections
2 weeks ago
Retirement leaves empty seat on PFS Fund board
Allen Brown’s Sept. 6 retirement after 14 years overseeing the 13-fund series trust reduces board from four indies to three
Cynthia Plouché steps back after two years spent challenging SEC rulemaking, bolstering D&I programs
Retirements of Driscoll, Herring, and Searcy will mark nine departures since 2018
Proposal includes retirement for stalwart veteran of only board to go nuclear on adviser
Charges line up with Gensler 'fraud is fraud' guidelines of other cases, but don't answer board questions about what other risks to guard against
Term limit will require retirement of longtime indie Laurie Thomsen in 2025
