Ex-UBS adviser faces $5M sexual harassment suit

Former intern claims she was offered Christian Louboutin shoes in exchange for sex; adviser and firm say she welcomed advances.

Which broker-dealer CEOs earn the biggest bucks?

Take a look at the compensation numbers of the chief execs at many major financial firms.

Waiting for the Fed

Blog - Breakfast with Benjamin: Investors are waiting for Janet Yellen and the Fed to pull the trigger on rates. Plus: Buying Alibaba via ETFs; S&P and Nasdaq stocks start to separate; hedge funds ride the wave; and annuity product sales hitting double digits.

IBDs prioritizing cybersecurity in 2015 tech spending

Preventing hack attacks is a big concern for independent broker-dealers heading into next year based on their planned technology spending.

BlackRock's money market solution

The money manager, led by CEO Laurence Fink, has come up with a way to avoid 'breaking the buck' with a reverse distribution. It means the shares don't lose value, you just have fewer of them.

Nontraded REIT guidelines too late for some clients

Blog - State securities regulators are making noise about implementing changes to policies that would limit how much a client's net worth could be invested in nontraded real estate investment trusts. Those limits would have helped clients in the case of a Louisiana broker who now has a Finra complaint.

$2.7B nontraded REIT on the move

CNL Lifestyle Properties Inc., has signaled it is seeking a potential liquidity event, meaning a sale of the REIT or listing of its shares on a stock exchange.

Should you follow Bill?

Blog - Friday's Breakfast with Benjamin features: Bill Gross is selling bonds. Should you? Plus: Finra might go inside to replace Fienberg; the markets' muted reaction to Obama; pump and dump; more money flows to hedge funds; and Cantor's way of commemorating 9/11.

Schwab consultants a hot get for hungry wirehouse

In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.

Advisers on the Move

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