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RETIREMENT PLANNING JUN 10, 2012
A shift to retirement readiness occurring in 401(k) plans

By MFXFeeder
BROKER DEALERS JUN 10, 2012
B-D, execs hit with $2.6M in fines, restitution on CMO sales

By Bruce Kelly
Indexed annuities boast strong 1Q
RETIREMENT PLANNING JUN 10, 2012
Indexed annuities boast strong 1Q

By Darla Mercado
WIREHOUSES JUN 10, 2012
Latest UBS move seen as sign Americas unit won't be sold

By AOSTERLAND
No one expected the info inquisition
INDUSTRY NEWS JUN 10, 2012
No one expected the info inquisition

No financial adviser wants to meet with a client and discover that the client knows something he or she doesn't.

By Jim Pavia
OPINION JUN 10, 2012
Real student debt problem is private

President Barack Obama and Congress should focus their efforts on helping students avoid predatory high-interest loans from private lenders.

By MFXFeeder
Politics over problem-solving needs to change: former Pres. Clinton
INDUSTRY NEWS JUN 08, 2012
Politics over problem-solving needs to change: former Pres. Clinton

Former President Clinton applauded for saying U.S. needs détente in Washington to rebuild trust at Pershing LLC conference

By DJAMIESON
Bleak outlook means opportunity … to a point
EQUITIES JUN 08, 2012
Bleak outlook means opportunity … to a point

Speakers at a gathering of Hatteras Funds advisers chimed in on the markets

By Jeff Benjamin
Stiglitz: Recession way more likely if Romney wins
INDUSTRY NEWS JUN 08, 2012
Stiglitz: Recession way more likely if Romney wins

Nobel laureate Joseph Stiglitz says Mitt Romney's austerity program would stifle the economy -- and 'significantly' raise the likelihood of another recession.

By John Goff
RETIREMENT PLANNING JUN 08, 2012
Health becoming new focus of wealth

By MFXFeeder
INDUSTRY NEWS JUN 07, 2012
Non-performers

A new study shows that most post-IPO/merger nontraded REITs over the past two decades have badly lagged industry benchmarks. The reason? Hefty fees.

By Doug Cubberley
At crucial hearing, deck will be stacked against SRO opponents
REGULATION AND LEGISLATION JUN 07, 2012
At crucial hearing, deck will be stacked against SRO opponents

Finra to make SRO case; adviser group to cite "substantial costs, bureaucracy"

By Mark Schoeff Jr.
INDUSTRY NEWS JUN 07, 2012
Prognosticating on practice values

By Joni Youngwirth
REGULATION AND LEGISLATION JUN 07, 2012
Inland 'cooperating fully' with SEC investigators, chairman says

By Bruce Kelly
FIXED INCOME JUN 07, 2012
SEC to start enforcing municipal bond disclosure rules

By Bloomberg
FIXED INCOME JUN 07, 2012
Muni bust still a fear for investors

By Jeff Benjamin
Stanford found guilty of perpetrating $7B fraud
REGULATION AND LEGISLATION JUN 07, 2012
Stanford found guilty of perpetrating $7B fraud

A jury in Houston found R. Allen Stanford guilty of 13 counts of fraud related to the sale of bogus certificate of deposits. The financier faces up to 20 years in jail for each count.

By Bloomberg
INDUSTRY NEWS JUN 06, 2012
Alabamans in prepaid college plan may have to settle for less

Investors in Alabama's prepaid college plan are a step closer to an agreement with the state that would cap the amount those students receive at an amount less than the full tuition they were promised when they signed up for the contracts.

By Liz Skinner
Wells Fargo latest to offer fee-based VAs
RETIREMENT PLANNING JUN 06, 2012
Wells Fargo latest to offer fee-based VAs

Firm joins the likes of LPL Financial, Commonwealth and Royal Alliance

By Darla Mercado
Axa looks to terminate 'costly' VA death benefits with swap deal
RETIREMENT PLANNING JUN 06, 2012
Axa looks to terminate 'costly' VA death benefits with swap deal

Axa aims to offer VA policyholders a hike in account value if they agree to cancel a generous death benefit. If the plan works, expect other insurers to follow suit. Says one industry watcher: 'The floodgates will open.'

By Darla Mercado