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SEC's Aguilar: Custody rules may prevent another Madoff

August 11, 2013

New regulations for brokers who control their clients' cash will go a long way toward preventing another client rip-off like the Bernard Madoff Ponzi scheme, according to a Securities and Exchange Commission member who championed the rules....

UBS to pay $120 million to settle Lehman claims

August 9, 2013

UBS AG agreed to pay $120 million to settle claims by investors in Lehman Brothers Holdings Inc. securities in a lawsuit tied to the investment bank's 2008 collapse. UBS was accused of violating federal securities laws in underwriting and selling...

The Takeaway: Are you in the secret wealth management cult?

August 9, 2013

Portfolio Joe Terranova takes a look at Q2 earnings season - the stats you want, the color you need.  (Virtus) 14 out of 15 metrics say stocks are not "expensive" at these prices historically.  (The Reformed Broker) What should we make of...

The Takeaway: Prepare thyself for the bond wars!

August 8, 2013

Portfolio Why stocks should act well as rates rise, even though this cycle is different.  (AllianceBernstein) A shirtless Bill Gross says "I shall vanquish mine foes and triumph in the bond wars!"  (CNBC) Should DFA advisors and investors...

UBS to pay $50 million to settle SEC claim

August 6, 2013

UBS AG (UBSN), Switzerland's largest bank, will pay almost $50 million to settle U.S. regulatory claims that a brokerage unit violated securities laws in structuring and marketing a collateralized debt obligation. The Zurich-based bank's UBS...

The Takeaway: Where active managers have an edge

August 5, 2013

Portfolio Wanna stay safe in the bond market?  Stick with the less expensive funds, for starters.  (Morningstar) Ladies and Gentlemen, we've finally found a segment of the market where active managers have an edge...  (Focus on Funds) Piper...

The Takeaway: Keep an eye on that sales assistant!

August 2, 2013

Portfolio US economy adds 162,000 jobs in July. Here are some reactions from economists:  (MarketWatch) Hope you didn't try to do the right thing and diversify clients' portfolios this year.  (The Reformed Broker) The August issue of Mutual...

FiNet adds hybrid affiliation option for new recruits

August 2, 2013

Wells Fargo Advisors Financial Network LLC, the independent brokerage arm of Wells Fargo & Co., commonly known as FiNet, has quietly begun offering a new hybrid affiliation option for advisers who want their own RIA firms. FiNet recruiters began...

Broadridge offers automated cost-basis application

August 1, 2013

A new partnership between Broadridge Financial Solutions and Scivantage will provide Broadridge clients with access to Scivantage Maxit, an automated cost-basis application. Maxit generates the cost basis of raw trade data in an IRS-friendly...

The Takeaway: S&P 500 breaks all-time high; time to start using margin

August 1, 2013

Portfolio The S&P 500 broke 1700 this morning for the first time ever.  (The Reformed Broker) Jobless claims fall to the lowest levels since January 2008.  (TIME) BlackRock, in pursuit of the "white whale of retirement income" launches its...

Belesis brothers, ex-John Thomas brokers emerge at new firm

August 1, 2013

Dozens of brokers from John Thomas Financial Inc., the boiler room that closed after regulators accused founder Anatasios “Tommy” Belesis of fraud, have found new employers in New York's financial district. George and John Belesis, brothers...

The Takeaway: The best (and worst) ETFs in every sector

July 31, 2013

Portfolio No change in Fed policy, in case you're working out of a cave today. Wait, but then you wouldn't be reading this either...  (Business Insider) If you really feel that this is a helpful exercize, feel free to read about what words...

Spilove splits Morgan Stanley to join UBS

July 31, 2013

Elaina Spilove, a top adviser with Morgan Stanley has joined UBS Financial Services Inc. Ms. Spilove oversaw $2.5 billion in assets and had production of $1.2 million at Morgan Stanley, according to UBS spokesman Gregg Rosenberg. She is based...

In split vote, SEC beefs up broker-dealer custody rules

July 31, 2013

The Securities and Exchange Commission today approved more-stringent rules surrounding broker-dealers' custody of client assets. Under the new requirements, a broker must file a quarterly report, called Form Custody, telling the SEC whether...

At UBS, wealth management shines with record profits

July 30, 2013

UBS Wealth Management Americas achieved record profits, assets and revenue per financial adviser in the second quarter, its parent company, UBS AG, said today. The U.S. retail unit of the Swiss-based financial services giant earned a pretax...

RIAs are losing competitive edge

July 28, 2013

Imitation is supposed to be the sincerest form of flattery, but with wirehouses and regional broker-dealers starting to look more like registered investment advisers, the trouble could just be getting started for independents. Wirehouses and...

LPL right to eliminate 'self-supervision'

July 28, 2013

Over the past decade, chief executive Mark Casady has built LPL Financial LLC into a 13,000-rep behemoth through two tactics: buying broker-dealers and aggressively recruiting registered representatives and financial advisers, many of whom were...

Carson acquires $218M AUM hybrid

July 28, 2013

Carson Wealth Management said last week that it had acquired a hybrid advisory firm with $218 million in assets under management, and that it plans to complete up to eight such deals by the end of the year. The firm it acquired, Caton Financial...

Thinking transition: Six technology questions all advisers should ask

July 26, 2013

When an advisor is considering a transition and comparing offers from multiple firms “technology” is often cited as a deciding factor and for good reason. A technology migration can often be one of the most time consuming portions of a move....

Low rates mean mixed bag for financial services giants

July 25, 2013

Low interest rates kept pressure on three financial services industry giants that reported quarterly earnings this week, but some bright spots such as advice, wealth management and trading helped the firms improve results over the year-ago period....

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