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RIA NEWS OCT 05, 2011
InvestmentNews, Invest in Others present adviser leadership awards

A special group of financial advisers who have demonstrated exceptional charitable leadership were honored last Wednesday at the fifth annual Community Leadership Awards

RIA NEWS OCT 05, 2011
Novel investment contract features automatic charitable giving

The company's contract is an actively managed portfolio of investments that will send 2% each year to one or more charities that the investor chooses.

Sterne Agee makes 'unsolicited' bid to buy Dallas B-D
INDEPENDENT BROKER DEALERS OCT 05, 2011
Sterne Agee makes 'unsolicited' bid to buy Dallas B-D

Consolidation in the securities industry continues to build, with regional broker-dealer and clearing firm Sterne Agee & Leach of Birmingham making an offer to buy SWS Group Inc. of Dallas.

FIXED INCOME OCT 03, 2011
Bet on Bernanke's producing 'monster' gains

MUTUAL FUNDS OCT 03, 2011
Growth Fund of America flags as U.S. standard-bearer

'Significant' rep exits at Securities America
RIA NEWS OCT 03, 2011
'Significant' rep exits at Securities America

Commonwealth, Cambridge snag brokers who purportedly generated 5% of beleaguered B-D's revenue last year; new owner soon?

RETIREMENT PLANNING SEP 30, 2011
INsider: This just in — D-B plans rock

In case anybody was wondering, survey reveals pensions are preferred to 401(k)s

SEC charges Long Island investment adviser
REGULATION AND LEGISLATION SEP 28, 2011
SEC charges Long Island investment adviser

The Securities and Exchange Commission filed charges today against unregistered Long Island investment adviser Corey Ribotsky for allegedly lying about the performance of his investment strategies and stealing more than $1 million from one of the hedge funds he managed.

LIFE INSURANCE AND ANNUITIES SEP 28, 2011
Looking under the stable-value fund hood

Galliard Capital Management Inc.'s stable-value funds, designed to preserve principal in tumultuous times, drew more than four times the usual inflows in August as market volatility increased, said managing partner John Caswell

EQUITIES SEP 28, 2011
Boomers may stall equities for decades