Advisor News

Displaying 26834 results
ALTERNATIVES JUN 03, 2012
SEC: Firm lied about execs' 'skin in game'

By Liz Skinner
REGULATION AND LEGISLATION JUN 03, 2012
Two Provident execs hit with fines, bans

By Bruce Kelly
Financial adviser ordered to turn over $1.2M in stolen 401(k) assets
REGULATION AND LEGISLATION JUN 01, 2012
Financial adviser ordered to turn over $1.2M in stolen 401(k) assets

Judge orders repayment in suit filed by the Labor Department

By Darla Mercado
'Targets on their back,' wealthy turning to trusts
RETIREMENT PLANNING JUN 01, 2012
'Targets on their back,' wealthy turning to trusts

Shielding assets now a prime concern of the rich; different states, different rules

By Bloomberg
RIA NEWS JUN 01, 2012
Client churn a royal pain? Seek a niche

Affinity practice best bet to retain book of business; whole lot of jumping going on

By LKUYKENDALL
REGULATION AND LEGISLATION JUN 01, 2012
Lobbyists redouble efforts as SRO bill heads to vote

By Mark Schoeff Jr.
WIREHOUSES JUN 01, 2012
New wirehouse math: Inside the numbers

By Bloomberg
Opponents of SRO incensed by Bachus bill
REGULATION AND LEGISLATION JUN 01, 2012
Opponents of SRO incensed by Bachus bill

State regulators angered by 'astonishing attack...on federalism'; some claim measure paves the way for Finra oversight

By Mark Schoeff Jr.
B-D to pay $2M to clients over Provident Royalties private placements
INDEPENDENT BROKER DEALERS JUN 01, 2012
B-D to pay $2M to clients over Provident Royalties private placements

Next Financial Group Inc. has agreed to pay $2 million in restitution to clients who bought oil and natural gas private placements of Provident Royalties LLC.

By Bloomberg
FINTECH MAY 31, 2012
Advisor Access announced by Raymond James

By Janowski Davis
FINTECH MAY 31, 2012
Certivox PrivateSky: The shape of secure messaging systems to come?

By Janowski Davis
WIREHOUSES MAY 31, 2012
Former Merrill advisers off to rocky start at Morgan Stanley

Agree to return customer info in protocol flap; decision now rests with Finra panel

By AOSTERLAND
Slow 2012 for VA sales as costs climb, insurers leave the space
RETIREMENT PLANNING MAY 31, 2012
Slow 2012 for VA sales as costs climb, insurers leave the space

After strong growth in 2010 and 2011, VA sales are expected to slow as products become less attractive, guaranteed-withdrawal percentages slide and fees continue to skyrocket.

By Darla Mercado
New Jackson National VA does away with living benefits
RETIREMENT PLANNING MAY 31, 2012
New Jackson National VA does away with living benefits

Insurer turns focus to tax deferral, alt investments and fee-based advisers

By Darla Mercado
Blame game on after Facebook faceplant
FINTECH MAY 30, 2012
Blame game on after Facebook faceplant

Fingers pointed at Morgan Stanley, Nasdaq -- and social networking company's top execs; owners got theirs

By John Goff
ALTERNATIVES MAY 30, 2012
DeWaay gets reprieve from Iowa court

By AOSTERLAND
Carried interest tax break 'indefensible,' says Calpers CIO
REGULATION AND LEGISLATION MAY 30, 2012
Carried interest tax break 'indefensible,' says Calpers CIO

Dear slams 15% rate for PE firms, citing its 'gross unfairness'

By John Goff
Romney tax plan will ratchet down rates, deduct deductions: Source
REGULATION AND LEGISLATION MAY 30, 2012
Romney tax plan will ratchet down rates, deduct deductions: Source

By John Goff
INcite: Romney's tax returns shoot holes in his cap gain claim
REGULATION AND LEGISLATION MAY 30, 2012
INcite: Romney's tax returns shoot holes in his cap gain claim

Even with much higher rates, Bain had little trouble attracting capital

By Bloomberg
INDEPENDENT BROKER DEALERS MAY 30, 2012
DeWaay says DBSI suits could sink firm

By Bruce Kelly