Firm's RIA chief pegs 21% increase to investor interest in independent advice.
Background as both prosecutor and defense attorney for Wall Steet a good thing, Kotz says
Even a smooth confirmation process for SEC-chairman nominee Mary Jo White could take months, leaving current chairman Elisse Walter in place for a while.
Sullivan leaves wirehouse for fast-growing firm; hooking up with former colleagues
Supporters of the act, which was approved by large bipartisan majorities, contend that it would help spur economic growth and create jobs by providing capital to small businesses
Private-equity firms have been jumping into the VA business like crazy. On Tuesday, Moody's weighed in on the subject. Advisers should take note.
Nearly 60% of instances of mistreatment involve monetary exploitation; what's an adviser to do?
It's been about a year since the Securities and Exchange Commission said it would assess the costs of a potential rule that would raise investment-advice standards for brokers. One reason that a request for data has not yet been released is because SEC commissioners keep tweaking it.
New study cites failure of money market fund reform as example
Don't look now, but Merrill Lynch is hawking a nontraded REIT -- the first wirehouse to do so. Should broker-dealers be worried?
GBI launches online purchase and management program for precious metals; works with reporting systems
Agrees to pay $1.2M to close Finra enforcement action; five affiliates allegedly failed to retain millions of messages
Dispute stems from overtime payments between 2010 - 2012; deal must be reviewed by court
According to a source, BofA boss Brian Moynihan vetoed John Thiel's plan to cut the Merrill grid by 2 percentage points.
Finra is once again looking to change some of its membership rules. The first go at making some revisions -- floated back in 2010 -- was not exactly cheered by reps.
Improved financial markets and retention pay cited as reasons for keeping brokers at wirehouses
New office in Melbourne, Fla. is the firm's 28th location
Massachusetts Secretary of the Commonwealth William Galvin urges SEC to consider banning the use of such agreements by registered investment advisers
