Sallie Krawcheck's short list said to include John Thiel; joined the brokerage as an adviser in 1989
Maybe plain-English writin' ain't as easy as RIAs thought; better late than error
Asset manager hires Robert Francis, former COO at B-D's retirement unit
With college tuition reaching mind-boggling levels, economist Laurence Kotlifoff reexamines the ROI of higher education. What he discovers may explain why the guy who fixes your sink drives a better car than you do.
Southwest Securities Inc. will pay $500,000 to resolve Financial Industry Regulatory Authority claims that the firm violated Municipal Securities Rulemaking Board rules by using paid consultants to solicit business.
Claims David Becker and brothers inherited money from parents; $1.5M in question
Apple's ubiquitous device enables sales force to ditch smart phones, laptops
Company set to launch Veo mobile app for popular electronic tablet
Alan Harter's clients started suggesting more than two years ago that he should cut his Wall Street ties and become their independent investment adviser
It took a long time, but Kevin Carreno has been vindicated
The 200 to 300 financial advisers and trainees given their walking papers at Morgan Stanley Smith Barney LLC this quarter probably won't have much trouble finding new jobs, according to industry recruiters.
The SEC deserves a pat on the back for eliminating the requirement that a securities industry representative sit on Finra arbitration panels. Still, its obligation to assure that investors get a fair shake in disputes with their brokers remains unfulfilled.
The Securities and Exchange Commission yesterday approved a Financial Industry Regulatory Authority Inc. proposal to give investor claimants the option of using all-public arbitration panels.
Wholesalers for J.P. Morgan Funds won't be able to complain about a bad back from hauling around a briefcase full of printed fund brochures and documents
Now that the Senate has approved a ban on patents for tax strategies, proponents are turning their focus to the House
Like a nagging cold, leakage from defined-contribution plans continues to bedevil plan sponsors and their providers
Southwest Securities Inc., the Dallas-based brokerage fined this month over payments to municipal-bond advisers, will pay $650,000 to resolve claims over improper short sales that caused a $6.3 million loss for the firm.
Research shows that one in seven cases dismissed; fines often lowered
