Even if <a href="//www.investmentnews.com/article/20150426/REG/150429941/independent-broker-dealer-recruiting-hits-a-wall"" target=""_blank"" rel="noopener noreferrer">recruiting at independent broker-dealers has hit a wall</a>, the industry still features a number of firms with expanding numbers of registered reps.
Vendors, most of whom are competitors, increasingly work together, allowing advisers to move easily between platforms and, in some cases, to share relevant data.
Finra arbitration panel ruled in favor of three investors who claimed their accounts were over-concentrated in the bonds.
Investor claims pile up as the territory sinks in the downward spiral of a government debt crisis.
From beginning to end, our days would be difficult, if not impossible without the tech tools we take for granted today.
<i>Breakfast with Benjamin</i>: CalSTRS, the country's second-largest pension fund, considers moving $20 billion out of traditional investments and into alternatives.
Your CRM is a powerful tool that can help you send out a blast email to all of your clients at the touch of a button.
Pursuit Partners sued the wirehouse in 2008, accusing it of selling it $40.5 million of collateralized debt obligations that some of the bank's employees referred to as “vomit” and “crap” in e-mails.
Premiums have been rising twice as fast as Social Security COLAs.
Background makes Arkansas legislator, no fan of DOL fiduciary proposal, a go-to source on financial services issues.
It is an estate-planning tool through which a parent's or grandparent's assets can pass on to future generations without being subject to gift, estate or generation-skipping transfer taxes.
Given long waits on the phone or for in-person appointments, online applications could be the best way to go.
The fifth annual conference for personal finance bloggers included a new adviser track. Here are the highlights.
Regulator says Finra and MSRB should issue rules 'requiring the disclosure of mark-ups and mark-downs.'
Advisers, this is why it's better to err on the side of caution &mdash; even if your firm's login and password-recovery processes are annoying.
Lower income, less savings, higher health costs and longer life expectancy contribute to the disparity, but anecdotal and statistical evidence point to a shrinking margin.
An attempt to get Democratic buy-in on legislation that would force the DOL to hold off on finalizing its rule until the SEC acts died on the vine at a House hearing.
Two House subcommittees will hold a joint hearing Thursday focusing in part on a bill written by Rep. Ann Wagner to thwart efforts to raise investment advice standards for retirement accounts.
Lower income, less savings, higher health costs and longer life expectancy contribute to the disparity, but anecdotal and statistical evidence point to a shrinking margin.
Successful advisers need to do a cost-benefit analysis of an automated investment platform and, if they do launch one, invest sufficient resources to drive adoption of it .
