Industry News

Displaying 35350 results
NEWS BROKER DEALERS MAR 04, 2012
Ex-GunnAllen boss sets sights on small B-Ds

By Bruce Kelly
Three words for some Wells Fargo wealth managers: Relocation, relocation, relocation
NEWS INDUSTRY NEWS MAR 02, 2012
Three words for some Wells Fargo wealth managers: Relocation, relocation, relocation

Bank eyeing consolidating or closing down branches to help cut costs

By John Goff
2012 could be the year of the breakaway, lawyer says
NEWS WIREHOUSES MAR 02, 2012
2012 could be the year of the breakaway, lawyer says

Retention contracts at wirehouses winding down; more confidence in going indie

By Lavonne Kuykendall
Adviser charged in murder-for-profit scheme
NEWS RIAS MAR 02, 2012
Adviser charged in murder-for-profit scheme

Daniel E. Becerril II arrested Friday, slapped with four felony charges including murder.

By Doug Cubberley
Take this paycheck and allocate it
NEWS RETIREMENT PLANNING MAR 02, 2012
Take this paycheck and allocate it

Advisers need to do a better job of helping clients save, says consumer finance expert

By Jeff Benjamin
NEWS INDUSTRY NEWS MAR 02, 2012
Why merely mediocre returns can be worse than a market crash

By Michael Kitces
NEWS RIAS MAR 02, 2012
Decision to keep rates low could hurt interest in annuities

By Bloomberg
MetLife, Axa limiting customer contributions to certain variable annuity purchases
NEWS LIFE INSURANCE AND ANNUITIES MAR 02, 2012
MetLife, Axa limiting customer contributions to certain variable annuity purchases

MetLIfe, Axa curbs on clients' VA additions a way to rein in market exposure amid tough economy

By Bloomberg
NEWS LIFE INSURANCE AND ANNUITIES MAR 02, 2012
Carriers look beyond variable annuities

In a bid to appeal to fee-based and fee-only financial advisers, life insurers are resurrecting a once-forgotten product intended to generate a steady stream of retirement income outside the VA arena.

By Darla Mercado
NEWS LIFE INSURANCE AND ANNUITIES MAR 02, 2012
SEC fraud case could give new life to life settlements controversy

Life Partners accused of misleading shareholders about mortality estimates; securities or not?

By Darla Mercado
NEWS INDUSTRY NEWS MAR 01, 2012
Piper Jaffray downplays takeover talk

But reports of a possible Chinese suitor heat up the floundering firm's share price

By Darla Mercado
NEWS INDUSTRY NEWS MAR 01, 2012
Rare sighting: Finra panel orders plaintiffs to pay B-D for 'frivolous' claims

It doesn't happen very often. But on Wednesday, a Finra panel ordered a pair of investors to pay $75K for bringing 'frivolous' claims against a broker-dealer and one of its reps. The panel also admonished the duo for a 'bad-faith abuse of the Finra arbitration process.'

By Dan Jamieson
Berkshire board decides on Warren Buffett's successor
NEWS INDUSTRY NEWS MAR 01, 2012
Berkshire board decides on Warren Buffett's successor

Warren Buffett, the chief executive officer of Berkshire Hathaway Inc. since 1970, told shareholders that the board has decided on his eventual replacement.

By Mark Bruno
NEWS INDUSTRY NEWS MAR 01, 2012
Legendary Graham disciple — and Buffett favorite — dead at 95

Leukemia claims life of Walter Schloss: investments generated 16% annual return over 47-year period

By John Goff
NEWS INDUSTRY NEWS FEB 29, 2012
Nearly all Paulson reps sign on with JHS

Purchase now complete, acquirer says 70 of 75 Paulson advisers stayed on at firm

By DJAMIESON
NEWS INDUSTRY NEWS FEB 29, 2012
John Mauldin to advisers: Ditch your asset allocation models

Author says old strategies don't work in a period of superdeleveraging; bring 'em back out in five years

By Dan Jamieson
Change in Fed leadership could lead to rate hikes
NEWS INDUSTRY NEWS FEB 29, 2012
Change in Fed leadership could lead to rate hikes

By Jeffrey Kleintop
NEWS INDUSTRY NEWS FEB 29, 2012
Four score? How markets have fared on leap days

By Jeffrey D. Saut
NEWS RIAS FEB 29, 2012
High dividend taxes hurt the nation

By MFXFeeder
Former Irish billionaire declared bankrupt
NEWS RETIREMENT PLANNING FEB 29, 2012
Former Irish billionaire declared bankrupt

Sean Quinn, once Ireland's richest man, lost $1.3B on AIB bet

By Doug Cubberley