A former LPL Financial LLC financial adviser is suing the firm, alleging that the largest independent broker-dealer wrongfully fired him, and in turn defamed his reputation, for running a TV commercial that urged viewers to buy guns
Combined firms will have nearly $2.5B in assets under management
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
'Portability' of unused exclusions only guaranteed if surviving spouse files estate tax return swiftly
Economic uncertainty is the key obstacle keeping advisers from expanding their businesses
Don't worry about a double dip, says Raymond James' chief investment strategist Jeff Saut.
After cutting back on hiring in the wake of the 2008 downturn, advisory firms are seeking fresh talent — partly to jump-start growth, which has slowed in the past year, and partly as a form of succession planning
Broker-dealers now have a low-cost way to clear their slate with the IRS if they have been misclassifying employees as independent contractors
Market turmoil usually slows job hopping by brokers and financial advisers, but RIA custody firms say that their pipelines are as full as ever — and they don't expect a slowdown soon
Insurance juggernaut MetLife Inc. will rein in its variable annuities, as second-quarter sales surged beyond analysts' expectations.
Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well.
In a huge win for Morgan Stanley Smith Barney, a Merrill Lynch team with $14M in annual production -- and including several members of the firm's elite 'Circle of Champions'-- has left to join MSSB. Said one recruiter: "This will send shock waves through [Merrill.]' | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Avis=CI&Dato=20110616&Kategori=FREE&Lopenr=616009999&Ref=PH>How do MSSB and Merrill rate with clients?</a>
Despite easing of refinancing standards, home loans still tough to come by
California is closing its adviser-sold Section 529 college savings plan and folding its $283 million in assets into the state's much larger direct-sold plan, after failing to find a company to manage the adviser-sold plan
Pressure is building for higher dividends as U.S. companies from Google Inc. (GOOG) to Valero Energy Corp. (VLO) sit on record cash stockpiles, and payouts remain at three-year lows
Onetime Barron's hotshot adviser files suit against firm; also suing local regulators, including new NASAA president
AUMs, number of clients also up; firms doing more with less
Cleveland financial adviser Rich Lowrie's first hint that Herman Cain's campaign might catch the public's attention came last May when Mr. Lowrie was still interviewing for the role of the Republican presidential contender's economic adviser
Slammed by the 2008 recession, a greater number of older Americans claimed Social Security benefits at a younger age, and a shockingly large percentage exhausted their personal savings, a government report has found
UBS AG, Switzerland's biggest bank, said Francois Gouws and Yassine Bouhara resigned as co-heads of global equities following the $2.3 billion unauthorized trading loss detected last month.
