Friday, November 20, 2009
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Latest News for Financial Advisers

Updated: 11/20, 7:16 PM ET
More Top Stories


Currently on our blogs

Branch Managers have quotas to hit: Are they being honest with you about why it is so important for you to join before year-end?
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This Week in Investment News

Top Headlines

Warring wirehouses add fuel to hiring fire
By Bruce Kelly
Thumbnail The broker recruiting wars are heating up, with wirehouses jacking up their offers to new heights to lure more representatives in 2010.
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Dodd bill would make reps fiduciaries
By Sara Hansard
Thumbnail The Senate Banking Committee's plan to overhaul Wall Street has received a cool reception in the brokerage world.
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Is high unemployment an ugly long-term trend?
By Jeff Benjamin
Thumbnail The nation's 10.2% unemployment rate — the highest level in 23 years — is being viewed by some analysts not as a peak but as the beginning of a sustained period of above-average unemployment.
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Goldman's Blankfein: Firm's wealth unit 'should be bigger'
By Jed Horowitz
Thumbnail The Goldman Sachs Group Inc. is eager to expand its wealth management services to the very rich — and to distribute more of its asset management products through third-party brokers and financial advisers, according to chief executive Lloyd Blankfein.
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Compliance departments on red alert for insider trading
By Jessica Toonkel Marquez
Thumbnail In the wake of the alleged insider-trading ring involving hedge fund manager Galleon Group, compliance departments at asset management firms and broker-dealers are stepping up their vigilance.
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As lending increases, M&A mutual funds heat up
By David Hoffman
A number of mutual funds — including one exchange-traded fund expected to launch tomorrow — are betting on a revival of corporate mergers and acquisitions.
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Small-cap run may still have legs
By Dan Jamieson
For those advisers who missed out on the massive run-up in small-cap stocks since March, don't fret — some market observers still see plenty more upside.
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Stifel CEO: Breakaway reps, often low producers, can be very profitable
By Jed Horowitz
Thumbnail Regional brokerage firms and some independent investment advisers have been making hay hiring hundreds of discontented wirehouse brokers.



But Stifel Financial Corp. chief executive...
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More of This Week's Issue

Viewpoint
Editorial
Health reform legislation portends higher inflation
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Editorial Cartoon - Health reform legislation portends higher inflation
Just Thinking
Time for Benmosche to pack it up and go home
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Other Voices
With investment advice, one size does not fit all
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Letters to the Editor
Finra's ads denigrate members of industry
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