Sen. Ed Markey, who wrote the legislation that led to the creation of BrokerCheck, is calling for stricter regulator enforcement for <a href="http://www.investmentnews.com/article/20131024/FREE/131029933">brokers who violate securities rules</a> and continue to practice.
Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, lawyers say. Research finds that records were erased in 97% of cases settled from May '09 through Dec. '11.
Market performance, money flows push Wells Fargo Advisors' assets to record.
Individuals are taking a cue from corporations in moving assets to other states, but will regulators clamp down?
Mary Beth Franklin passed the Certified Financial Planner Board of Standards Inc.'s certification exam. But unfortunately, you can't call her a certified financial planner — and probably never will.
Plus: Asian markets are charging, hitting a year-end financial high note, how to use bond ETFs, Amex gets stung, and apps for getting fit. Check out Breakfast with Benjamin.
Money manager said to seek $3 billion for new credit hedge fund.
"Get out while the getting is still good," warns one investment expert
Now is a good time to ask two important questions. First, do your clients really appreciate you? Second, do your clients know how much you really appreciate them?
Better-than-expected durable goods orders boost case for more tapering.
To avoid policy missteps like those of the 1970s, the Fed will need to accurately interpret the factors influencing today's labor participation rate, according to this sponsored blog post from Putnam Investments.
Investment strategist James Paulsen of Wells Capital Management asks whether it is time for investors to shift their historic perceptions of the potential long-term performance of stocks in light of the past 25 years of performance.
Here's what advisers can look for (or look forward to, depending) in 2014. By those with an ear to the ground.
Plus: Hedge funds short gold, bonds embrace Fed taper, Obamacare hits the family budget hard, a case for reverse mortgages, and holiday tipping tips
Two of the largest variable annuity sellers sharply pulled back on additional premiums into existing contracts during a busy third quarter for the sellers.
Find out which asset fared the poorest this year, plus other must-reads from wealth manager and CNBC commentator Josh Brown
A review board denies the 82-year-old founder and president of Wedbush Securities' appeal and issues harsher sanctions, increasing the scope of the original suspension and doubling the fine for reporting violations.
Breakfast with Benjamin: At Bernanke's final meeting, Fed poised to cut another $10B from its bond-buying program. Plus: CEOs struggle to manage expectations, income tax pain hits home, a tale of two homebuilder ETFs, and young folks aren't biting on the Obamacare sales pitch.
Find out which asset fared the poorest this year, plus other must-reads from wealth manager and CNBC commentator Josh Brown
A paradox for the ages as weak economy pushes stock prices higher.
