Latest News

Ex-UBS broker accused of defrauding elderly in Ponzi scheme

Jul 31, 2014

SEC has charged Donna Tucker with stealing $730,000 from older clients, including a blind couple.

Global selloff, weak earnings send stocks to big loss

Jul 31, 2014

S&P 500 posts first monthly loss since January; Dow erases gains for the year.

Variable annuity scam architect settles with SEC, admits to wrongdoing

Jul 31, 2014

As part of an SEC settlement, ex-broker admitted to running an $80 million scheme that profited from the deaths of terminally ill patients.

GAO report calls for more disclosure of managed accounts in 401(k)s

Jul 31, 2014

The Labor Department should require providers to share more on fees, performance and benchmarking, GAO says.

Finra combs arbitrator list for bad apples

Jul 31, 2014

The regulator has completed reviews of all 6,300 arbitrators as arbitrator bias is “one of the hottest topics” this year

Cetera advisers take their message to the small screen

Jul 31, 2014

Lifetime channel's “The Balancing Act” hosts discussion on managing money

Citibank knocks LPL Financial down a peg

Jul 31, 2014

Analysts highlight the leading IBD's string of regulatory issues

Former N.Y. governor joins broker-dealer IFS Securities

Jul 31, 2014

Former N.Y. governor David Paterson joins broker-dealer IFS Securities, where he will help develop new business opportunities for firm

Former LPL exec Bruton lands

Jul 31, 2014

Ex-managing director of LPL Financial is named CEO of Lucia Capital Group, a firm that includes an RIA and broker-dealer and has $2.3 billion of client assets.

Getting serious about how you use mobile technology

Jul 31, 2014

As smart phones and tablets become the norm, winging it no longer makes the cut; you need policies and procedures for running a mobile business. Here are some tips.

Broker-dealer sales practices to seniors focus of Massachusetts sweep

Jul 30, 2014

Survey intended to inform regulators, prevent financial abuse of elders.

Succession planning doesn't mean selling

Jul 30, 2014

Aging advisers need to ask themselves if selling their practice can fund their own retirements.

Donald Sterling's battle holds harsh lessons for advisers

Jul 30, 2014

The L.A. Clippers owner's fight with pro basketball highlights important tax and estate strategies that may surprise you.

Greenspan says stocks to see 'significant correction'

Jul 30, 2014

Former Fed chief not so sure on timing as equities not "grossly overpriced"

Fund managers brace for Argentina default fallout

Jul 30, 2014

More than 130 funds have exposure to Argentina's debt, but consequences may be limited for investors.

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