Named as defendants in the lawsuit filed Wednesday by UBS Financial Services Inc. are David Kinnear and Kathleen Bakas.
There's no letup in sight for broker-dealer closings. Today, MCL Financial -- yet another small brokerage that focused on selling illiquid alternative investments -- has been shuttered.
Untimely passing of pop queen a stark reminder to financial planners of need to review documents; follow-through the key
Advisers offer their tips for winning business and networking with social media.
Former veep tells advisers current administration isn't doing enough to curb spending on social programs
Montana farmers are suing John Corzine for fraud, saying he oversaw the misappropriation of their commodity trading account funds.
Companies are ignorant about charges levied by plan managers, advisers.
Now the best time for heirs to sell Apple, Disney stakes; no reason 'not to sell all of it'
'No justification' for Wall Street giant getting a pass, says one compliance expert; making ex-boss of Goldman Sachs take a Series 7 might be deemed laughable
Target date fund fees have been declining year by year and basis point by basis point, and more cuts seem likely
Many passing up what's seen as risky, over-hyped bet; don't want to be 'the last money in'
Candidate's tax revelation casts unflattering light on shadowy world of private equity; 'crazy not to bring it up'
President calls for implementation of Buffett rule; gridlock more likely
World aghast that Missy Franklin clings to amateur standing, but sports agent says the move could pay off in the long run
