IBD hit with 'massive' data request from SEC

Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.

Auditor resigns from Schorsch-linked nontraded REITs

The accountant for eight nontraded REITs managed by Mr. Schorsch's privately held real estate manager, American Realty Capital, has resigned.

Youngsters bulking up on 401(k)s

Blog - Today's Breakfast with Benjamin features Gen Y and Gen X causing the the pace of 401(k) plan contributions to hit new heights. Plus: The ABCs of a hot REIT market, biotech stocks under the microscope, and something you might have in common with Bill Gates.

Vanguard issues warning on stock risk

According to the fund giant, investors are taking on portfolio risk not seen since 1999 or 2007, and advisers need to adjust client expectations for low-return markets.

Cambridge plans a robo

The independent broker-dealer jumps on robo bandwagon with plans to have a competitive digital offering in 2016.

Latest CFA exams produce ugly results

Blog - On today's Breakfast with Benjamin, Wall Street wannabees sweat over the results of the December CFA test. Plus: Obama turns tail on 529 tax plan, Gundlach dishes on his own bad trades, and chicken wings might be the best Super Bowl investment.

Penny stock violations cost Oppenheimer

Broker-dealer to pay $20 million over a failure to prevent suspicious penny stock trading and pump-and-dump schemes.

AMG Wealth strikes $6 billion RIA deal

AMG Wealth, which has been making investments in advisory firms in recent years, kicked off 2015 with a bang: taking a majority stake in San Francisco-based Baker Street Advisors.

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