But Republican representative has little support for wholesale repeal, even among GOP
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
The U.S. Securities and Exchange Commission froze the assets of a North Carolina investment firm and its owner, claiming he diverted more than $16 million from clients including pension funds, school endowments and hospitals.
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.
The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.
Securities America, Massachusetts regulator battle over who's at fault in Reg D fiasco
Montana's commissioner of securities and insurance has sued Securities America over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
Nimble investors could jump on some attractive acquisition candidates ahead of the unfolding 2011 takeover wave, according to the latest research from Morningstar Inc.
The 24-employee unit will continue to work out of seven different cities
Bipartisan members of the Senate Judiciary Committee introduced a bill Thursday that would remove exemptions for the Securities and Exchange Commission to a law that promotes openness at federal agencies.
Former staffer allegedly fired for wanting to question John Mack about possible insider trading at Pequot Capital
SEC claims broker churned accounts of the Sisters of Charity
First Allied Securities Inc., Janney Montgomery Scott LLC and Raymond James Financial Inc. are among a number of broker-dealers preparing for a spike in financial advisers' use of firm-sponsored, fee-based money management programs if brokers are to be held to a fiduciary standard of care.
Looking to diversify and raise cash to pay taxes, big-producing and long-tenured advisers affiliated with LPL dumped shares and cashed out during the company's initial public offering this month.
Voter backlash could preserve indie reps' employment status
