Advisor News

Displaying 28311 results
FINTECH APR 01, 2012
A tool to benchmark fees, pricing

By Janowski Davis
WIREHOUSES MAR 30, 2012
Assets up but revenue down for Schwab, TD Ameritrade

Low rates, unenthused DIY investors are to blame

By DJAMIESON
Without housing revival, recovery lacks foundation: Fed adviser
RETIREMENT PLANNING MAR 30, 2012
Without housing revival, recovery lacks foundation: Fed adviser

Pall over property market a drag on economy, says William Strauss

By Jeff Benjamin
REGULATION, LEGAL & COMPLIANCE MAR 29, 2012
SEC accuses 'socially conscious entrepreneur' of running $11M church-based Ponzi scheme

Ephren W. Taylor II allegedly encouraged churchgoers to invest in gaming machines, badmouthed mutual funds

By Darla Mercado
Old home week as ex-Merrill execs join McCann on UBS super committee
WIREHOUSES MAR 29, 2012
Old home week as ex-Merrill execs join McCann on UBS super committee

Six-member team charged with retaking market share in the U.S.

By John Goff
INDEPENDENT BROKER DEALERS MAR 29, 2012
Edward Jones and Commonwealth tops with advisers

Pair of firms ranked No. 1 in J.D. Power and Associates for second year in a row

By AOSTERLAND
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred
REGULATION, LEGAL & COMPLIANCE MAR 29, 2012
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred

A B-D exec who 'crossed paths' with accused Afghanistan shooter Robert Bales claims his reputation has been severely tarnished by reports of his connection to the mass-murder suspect.

By Bruce Kelly
Ex-adviser Allen pleads guilty to insider trading
REGULATION, LEGAL & COMPLIANCE MAR 29, 2012
Ex-adviser Allen pleads guilty to insider trading

Faces up to 57 months in prison after admitting in court that he betrayed his fiduciary duty to his employers by passing the tips to his friend.

By Doug Cubberley
IRAs suddenly of great interest to Washington
RETIREMENT PLANNING MAR 29, 2012
IRAs suddenly of great interest to Washington

Two new measures targeting the accounts introduced in the past week; source of savings, source of tax revenue

By Liz Skinner
Baucus' targeting of stretch IRAs a reach, say critics
RETIREMENT PLANNING MAR 29, 2012
Baucus' targeting of stretch IRAs a reach, say critics

Claim plan to rejigger taxes on inherited accounts could hurt savers with older spouses; 'a nonstarter'

By John Goff
Newest NBA rule: Players must provide their own (safety) net
RETIREMENT PLANNING MAR 28, 2012
Newest NBA rule: Players must provide their own (safety) net

Financial troubles of retired players sees union, league set up mandatory retirement savings plan

By John Goff
REGULATION, LEGAL & COMPLIANCE MAR 28, 2012
FDIC laces into ex-NFL star quarterback in suit

Accuse Bears' legend Jim McMahon of 'gross negligence' as director of Broadway Bank

By John Goff
Senate Dems look to hold up investment bill backed by the President
REGULATION, LEGAL & COMPLIANCE MAR 28, 2012
Senate Dems look to hold up investment bill backed by the President

Crowd-funding bill has overwhelming bipartisan support, but new roadblocks appear

By Mark Schoeff Jr.
Regulators to scrutinize nontraded business development companies
ALTERNATIVES MAR 28, 2012
Regulators to scrutinize nontraded business development companies

Coming Finra investor alert for business development companies could highlight concerns similar to those of nontraded REITs

By Bloomberg
Behringer Harvard client wants answers after seeing fund drop by 96%
ALTERNATIVES MAR 28, 2012
Behringer Harvard client wants answers after seeing fund drop by 96%

An investor has seen her real estate investment with Behringer Harvard Holdings drop by 96% and she is appealing to Finra for answers.

By Bloomberg
All-in purchase of MSSB could singe Morgan Stanley's credit rating: Analysts
WIREHOUSES MAR 27, 2012
All-in purchase of MSSB could singe Morgan Stanley's credit rating: Analysts

Say swifter acquisition of remaining Citigroup stake would likely involve leverage

By AOSTERLAND
BATS worst IPO ever?
FINTECH MAR 27, 2012
BATS worst IPO ever?

Trading platform forced to pull its own initial public offering due to problems with its trading platform

By John Goff
Merrill adds a few heavyweights to herd
WIREHOUSES MAR 27, 2012
Merrill adds a few heavyweights to herd

By Andrew Osterland
Indie B-D reps flocking to fixed indexed annuities
RETIREMENT PLANNING MAR 27, 2012
Indie B-D reps flocking to fixed indexed annuities

Fixed indexed annuities were a hot product among independent broker-dealer reps last year as clients sought a safe-money alternative to CDs, made virtually worthless by low interest rates.

By Bloomberg
Support for financial reforms strong with those over 50: AARP
REGULATION, LEGAL & COMPLIANCE MAR 27, 2012
Support for financial reforms strong with those over 50: AARP

More than half of those surveyed by AARP want Dodd-Frank reforms on consumer protection implemented

By Liz Skinner