Latest News

Ex-LPL broker to pay nearly $2 million for defrauding clients

Aug 28, 2014

Blake Richards misappropriated $1.7 million from at least seven investors, some of whom were elderly, according to the SEC's charges.

ING/Voya boosts female adviser head count past industry average

Aug 28, 2014

The firm has boosted female adviser head count past industry average over the past eight years through successful networking and mentoring programs.

Is this your resume? Call Ric Edelman.

Aug 28, 2014

Find out what the adviser behind one the largest independent wealth firms is seeking out of a manager.

CloudStock web startup brings young investors and advisers together

Aug 28, 2014

New social platform uses gamification to teach Millennials about the stock market.

SEC sets plan to expand tick sizes for small-cap trades

Aug 27, 2014

Agency seeking to improve market quality by altering rules for trading companies with market caps of $5B or less.

401(k) fiduciary breach lawsuit heads to the Supreme Court

Aug 27, 2014

Court asked to consider statute of limitations that require plaintiffs to bring a suit alleging breach of duty within six years.

Schorsch REIT board member recommends 30% alts exposure for retirees

Aug 27, 2014

Bob Froehlich says the industry needs to catch up with the pressing demands of a yield-starved world.

Are changes ahead in the way nontraded REITs are sold?

Aug 27, 2014

Fat commissions could be trimmed if states approve regulations affecting the sale of nontraded real estate investment trusts.

What top 401(k) plans do differently

Aug 27, 2014

A new ranking reveals which industries have the best plans — and what features set them apart.

Even tech-driven practices have tech-averse clients

Aug 27, 2014

Tips on working with elderly clients who have not grown up with the Internet, e-mail and secure portals.

Morgan Stanley dodges $15 million raiding claim

Aug 26, 2014

Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.

This adviser loves stocks, hates bonds

Aug 26, 2014

Creative Financial Design's Theodore Feight shares his portfolio

What to look for when pricing a CRM

Aug 26, 2014

Sophisticated advisers may need lots of bells and whistles, but those just starting out can get by with a bare-bones version.

With S&P 500 at a record, echoes of the dotcom boom and bust

Aug 26, 2014

The stock market's gains are comparable to the Pets.com era rally but valuations, while stretched, are much more reasonable, strategists say.

Impact investing soars with $12 million green bond sale by Merrill Lynch

Aug 26, 2014

Last week's purchases illustrate the growth over the last few years in investment options tied to social improvements.

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