News

Displaying 42963 results
RETIREMENT PLANNING APR 12, 2013
ING to cough up $5.2 million in Labor Department settlement

Insurer failed to disclose to retirement plan clients that it kept investment gains related to late trades.

By Darla Mercado
REGULATION AND LEGISLATION APR 12, 2013
More woes for Tony Thompson as Denver couple files lawsuit

This week, an investor filed a lawsuit against Tony Thompson. Bruce Kelly fills in the details about the latest headache for the noted real estate investor.

By Bruce Kelly
Low volatility, dividend-paying ETFs the way to build growth portfolio
EQUITIES APR 12, 2013
Low volatility, dividend-paying ETFs the way to build growth portfolio

Alternative ETF strategies beginning to emerge.

By DJAMIESON
ING U.S. files for initial public offering as part of bailout deal
EQUITIES APR 12, 2013
ING U.S. files for initial public offering as part of bailout deal

By Gregory Crawford
RIAS APR 11, 2013
Live! From TD Ameritrade Institutional: Advisers show Mitt Romney the love

Former Mass. governor and presidential candidate offers standing-room only crowd his take on global politics and domestic policies.

By Trevor Hunnicutt
RETIREMENT PLANNING APR 11, 2013
Mary Beth Franklin: Social Security Disability muddles claiming picture

Plenty of confusion over the interplay between disability and retirement benefits.

By Mary Beth Franklin
RIAS APR 11, 2013
Florida on verge of making branch office registration instantaneous

Move could ease bottlenecks, bring state more in line with most others.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 11, 2013
Gay marriage would shake up benefits game

Advisers await Supreme Court's landmark decision

By Liz Skinner
PRACTICE MANAGEMENT APR 11, 2013
After fast start, wirehouse recruiting hits a wall

But break in lull expected after tax season winds up; 'fingers on the trigger'

By AOSTERLAND
$1.5M arb judgment forces B-D to declare bankruptcy, deregister
ALTERNATIVES APR 11, 2013
$1.5M arb judgment forces B-D to declare bankruptcy, deregister

A Finra arbitration panel has ordered Cambridge Legacy Securities to pay an investor $1.5 million over private placements

By Bruce Kelly
ALTERNATIVES APR 10, 2013
BDC dumps distributor over financial issues

VII Peaks Capital actively looking for new wholesaler

By Bruce Kelly
INDUSTRY NEWS APR 10, 2013
ETFs' start outpaces last year's

Investors piling into funds in record numbers

By Jason Kephart
MUTUAL FUNDS APR 10, 2013
SEC settles case with ex-directors of Morgan Keegan funds

Commission steps up efforts to hold mutual fund directors accountable for accurately priced assets

By Mark Schoeff Jr.
RIAS APR 10, 2013
Passing through? 'Radical' plan would overhaul treatment of partnerships

Proposal seen as biggest change in 60 years; Option 2

By John Goff
INDUSTRY NEWS APR 10, 2013
Deficits do matter, but not how you think, economist says

Economist and modern monetary theorist Stephanie Kelton says massive government overspending is indeed a crucial issue. The kicker? She's for it.

By DJAMIESON
INDUSTRY NEWS APR 10, 2013
Investors dump gold

A record $4.1 billion yanked from ETFs during February

By JKEPHART
OPINION APR 10, 2013
Immunize investments against rising rates

Financial planners and investment advisers should get their clients positioned ahead of the rate increases that seem inevitable

By MFXFeeder
INDUSTRY NEWS APR 09, 2013
Advisers get more tactical

Financial crisis sparked migration away from buy and hold, Cerulli study shows

By Jeff Benjamin
INDUSTRY NEWS APR 09, 2013
Outlook for 1Q earnings seen weak

Investors are on edge as earnings season kicks off. Will higher payroll taxes and the sequestration finally hit?

By Jeff Benjamin
RETIREMENT PLANNING APR 09, 2013
No limit to confusion over Social Security earnings cap

Waiting to claim at 66 escapes benefit claw back, but not taxes

By Mary Beth Franklin