A tax-exempt strategy that utilizes exchange traded funds investing in municipal bonds has been announced by Curian Capital.
Qualifying investors will have the option of getting their claims heard by a three-person panel of arbitrators.
The firm plans to categorize and rate the 3,500 funds of hedge funds in its database.
Banc of America Investment Services allegedly sullied brokers' reputations, damaged potential relationships with clients.
The repurchase program will begin sometime before Sept. 30 and involve $4.5 billion of auction rate securities.
Placemark Investments new United Capital relationship is its second significant deal in the RIA space.
Employers are getting more proactive about offering incentives to make it easier for employees to use a 401(k) plan, according to a study from Deloitte Consulting LLP.
Incomplete codes of ethics and codes of ethics that aren't followed were cited as two common problems found by Securities and Exchange Commission examiners at investment advisory firms.
Providing financial advice is similar to providing medical advice in that there is inherent uncertainty about whether recommended actions will achieve the desired results.
