Advisor News

Displaying 28311 results
Republicans 'cost-benefiting' Dodd-Frank into the ground
REGULATION, LEGAL & COMPLIANCE APR 20, 2012
Republicans 'cost-benefiting' Dodd-Frank into the ground

GOP relying more on financial analysis than legislation to slow industry reform

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 20, 2012
Regions Financial repays $3.5B U.S. taxpayer bailout

Company sold $900 million of stock and its Morgan Keegan brokerage for about $1.2 billion to help repay the bailout

By Doug Cubberley
LPL affiliate scooped up more than 140 new advisers in 2011
INDEPENDENT BROKER DEALERS APR 20, 2012
LPL affiliate scooped up more than 140 new advisers in 2011

Independent Financial Partners aims to push recruitment this year — and add $30 million in GDC

By Darla Mercado
LPL on a recruiting roll — but at a price
INDEPENDENT BROKER DEALERS APR 19, 2012
LPL on a recruiting roll — but at a price

Hiring expenses rose as indie B-D attracted 408 net new advisers in past year; 'elevating our expectation'

By Bruce Kelly
Historic Chapter 11 case could trigger wave of public-pension bankruptcies
RETIREMENT PLANNING APR 19, 2012
Historic Chapter 11 case could trigger wave of public-pension bankruptcies

Workers in Northern Mariana look to halt fund's filing for court protection; benefits could be slashed by more than half

By Darla Mercado
Behind the management shake-up at LPL
INDEPENDENT BROKER DEALERS APR 19, 2012
Behind the management shake-up at LPL

Mark Casady reveals reasons for recent changes at indie B-D

By Bruce Kelly
Citi willing to unload rest of Smith Barney stake: Analyst
WIREHOUSES APR 19, 2012
Citi willing to unload rest of Smith Barney stake: Analyst

Bank interested in selling remaining 35% share of brokerage to MSSB -- if the price is right

By John Goff
OPINION APR 19, 2012
Tuning up implementation of modern portfolio theory

The problem isn't with MPT but with the way it has been implemented

By Scott A. MacKillop
REGULATION, LEGAL & COMPLIANCE APR 18, 2012
Hall of Fame coach faked out players in $80 million Ponzi scheme: SEC

Donnan and partner convinced coaches, ex-players to invest in merchandise scheme, commission claims; worked as college football analyst for ESPN

By Liz Skinner
Wells Fargo's buy of Merlin spells entry into prime brokerage biz
WIREHOUSES APR 18, 2012
Wells Fargo's buy of Merlin spells entry into prime brokerage biz

Purchase will boost bank's clearing and record-keeping capabilities

By John Goff
FINTECH APR 18, 2012
Schwab announces availability of key technology platform components for RIAs

By Davis Janowski
Gingrich's charitable giving not so charitable, data show
RETIREMENT PLANNING APR 18, 2012
Gingrich's charitable giving not so charitable, data show

Candidate's donations lower than most in his income bracket; conservatives tend to give more

By John Goff
INDEPENDENT BROKER DEALERS APR 18, 2012
LPL isn't only B-D that hits brokers with an affiliation fee

LPL Financial LLC isn't alone in charging registered representatives and financial advisers a flat fee for doing business with the firm

By Bruce Kelly
Thundering Herd should stay stable post-Krawcheck
WIREHOUSES APR 18, 2012
Thundering Herd should stay stable post-Krawcheck

Life continues to get more complicated for Merrill Lynch advisers operating under the umbrella of beleaguered parent Bank of America Corp.

By Andrew Osterland
Vanguard's point man in Washington: Uncertainty abounds on tax policy
REGULATION, LEGAL & COMPLIANCE APR 17, 2012
Vanguard's point man in Washington: Uncertainty abounds on tax policy

Delaplane tells advisers he's not optimistic that 'grown-ups' will prevail on Capitol Hill

By LKUYKENDALL
New iPhone coming in October, says analyst
FINTECH APR 17, 2012
New iPhone coming in October, says analyst

Release date pushed back due to supplier delays; parts is parts apparently not true

By John Goff
FINTECH APR 17, 2012
Apple: A $600 value stock?

With Apple Ticker:(AAPL) opening up trading today at $600 per share - and up more than 500% since 2009 - it's hard to think of Apple as a value stock. But that may well be the case, according to one portfolio manager.

By Mark Bruno
Market volatility? Don't blame ETFs, says ICI
ETFS APR 17, 2012
Market volatility? Don't blame ETFs, says ICI

New research from industry groups shows that macroeconomic events are more to blame for volatility than exchange-traded funds

By Jason Kephart
Score one for the little guy; Obama's budget proposal bonks big guys, helps planless savers
RETIREMENT PLANNING APR 17, 2012
Score one for the little guy; Obama's budget proposal bonks big guys, helps planless savers

Families earning more than $250K lose incentive; those without plans can access an auto-IRA

By Darla Mercado
2011 good sign money market reform not needed: ICI
RETIREMENT PLANNING APR 17, 2012
2011 good sign money market reform not needed: ICI

Says funds have held up despite fears of a global recession and drama on the Continent

By Jason Kephart