Latest News

Jeffrey Gundlach attacks break for hedge funds in tax plan

November 16, 2017

DoubleLine Capital executive says he's 'appalled' by the continuation of carried-interest break.

New York financier Lynn Tilton faces new fraud charges over distressed companies

November 16, 2017

The founder of Patriarch Partners is accused of withholding funds after portfolio defaults.

UBS raising client fees, factoring in liabilities

November 16, 2017

Next year, some clients will see higher annual fees unless they have $2 million in assets and liabilities across accounts, or alter their accounts to gain fee waivers.

Morningstar, Orion and many more vendors unleash tech launches at Schwab IMPACT

November 16, 2017

The custodian's annual conference is becoming a prime showcase for new adviser-focused software.

HSAs next cash cow for 401(k) plan advisers: expert

November 16, 2017

'It is one of the areas that will be the rocket booster in 2018,' suggests consultant Peter Stahl.

House passes tax bill, focus turns to Senate

November 16, 2017

Tax reform legislation expected to have more of a challenge in upper chamber.

Financial Focus takes $446 million in assets from NPC to Securities America

November 16, 2017

Women-owned Carlsbad, Calif.-based firm specializes in serving women.

Finra bars ex-broker for private securities deals

November 16, 2017

Jerry Lou Guttman was with United Planners' Financial Services.

SEC enforcement of advisers drops in Trump era

November 15, 2017

The agency pursued 82 cases against advisers and firms in fiscal year 2017, down from 98 the previous year.

CFP Board makes changes to proposed code of ethics, will seek more comments

November 15, 2017

Board chairman Blaine Aikin says the new code will be released by the end of the year.

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