Generated $1B in commissions in first nine months of 2011; 'power that would make a mobster envious'
Net flows for 529s turn positive in the fourth quarter; 'good sign for the industry'
Regulator names names in statement disclosing Reg D enforcement actions; Securities America on the list
William Bruen Sr., William Bruen Jr., and Andrew Bruen, a three-generation team of financial advisers managing over $500 million in assets, left Morgan Stanley Smith Barney LLC for UBS Wealth Management last week
Value-meister Cooperman seeking out undervalued stocks; plenty to choose from right now
Rising interest in equity income, plus payouts by cash-rich tech companies, cited as triggers; break out the streamers
Commodities expert sees India and Europe as the catalysts for possible 50% drop in price of metal
National Financial Partners Corp. is bulking up its presence in the property-casualty space in an effort to bolster revenue.
NFP Securities Inc., which in the past has targeted its brokerage services to the insurance agencies and financial planning firms owned by its parent, National Financial Partners Corp., is re-branding itself to attract a broader base of hybrid advisers and registered investment advisers.
Although they're fighting over how to extend Bush-administration tax cuts, both parties agree on the need for fundamental tax reform, according to one leading House Republican freshman.
President Obama on Monday announced he wants to extend the Bush tax cuts for middle-income families -- for 12 months.
Purchases majority stake in Omaha-based company's wealth management unit; second deal this year
On Monday, Finra rolls out its expanded suitability rules. Some advisers and attorneys say the rule is a little too expanded for their liking.
In the middle of a presidential election year, it's natural to focus on the combat for the White House. The real impact of the vote this November, however, will be felt at the regulatory level by the personnel who are appointed by the president and implement financial-services rules.
But Labor's Borzi says single standard impossible since two agencies operate under different statutes
Exhorted to contact legislators to voice opposition to Bachus bill; 'have your mother … write too'
