IRVINE, Calif. — A debate is brewing over the establishment of retail-sales-practice guidelines for structured products.
An increasing emphasis on family governance is having a galvanizing effect on the multifamily-office business.
J. Thomas Bradley Jr., president of TD Ameritrade Institutional, is feeling the heat from financial advisers as he tries to balance their concerns and the demands of his parent firm, TD Ameritrade Holding Corp., to continue to increase assets.
The debate over abolishing or reforming the practice of soft dollars to curb perceived conflicts of interest was reopened recently, and some industry experts are considering the potential effect on hedge funds should the discussion reach Congress.
Brokers at A.G. Edwards Inc. won’t have to worry about losing their wealthy clients, according to Stan Kelly, president of Wachovia Wealth Management.
The latest challenge to the $1.3 trillion hedge fund industry could be strategies that produce hedge-fund-like performance without the hassles of investing in hedge funds.
Postnuptial agreements are gaining popularity as an estate-planning tool, and some hedge funds and private-equity firms have asked their top executives to sign them to protect their companies in case of a messy divorce, according to attorneys and financial advisers.
In an effort to charge up its top registered representatives and financial advisers, Raymond James Financial Services Inc. is giving bonuses to its biggest-producing brokers.
Aiming to forestall defections and address merger-related anxieties, Wachovia Securities LLC and A.G. Edwards Inc. announced broker retention packages Friday.
CHICAGO — According to a recent report, there is ample opportunity for financial advisers to work with clients who own company stock using a little-known technique called net unrealized appreciation.
