Racquel Oden to oversee branch and wealth management teams for tri-state area.
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
RIAs and Brokers must recognize each other's strengths and weaknesses for the sake of clients.
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Bradley Mascho already charged by SEC with abetting fraud.
Mercer acquired Tokyo-based hedge fund multimanager BFC Asset Management Co. in a move its global wealth management chief predicts will accelerate the nascent growth of Mercer's delegated investments business in Japan.
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
Valuations of RIAs will continue to entail more art than science.
While advisers face the difficult task of analyzing the law's impact, they will also have a significant opportunity to prove their value by implementing money-saving strategies for clients as well as their own businesses.
10-year Treasury rate's move above 2.5% confirms outlook for fixed income, legendary bond manager says.
Berkshire Hathaway CEO says stocks don't look overvalued compared to interest rates, and predicts a 'bad ending' for cryptocurrencies.
GOP promises workers will see increases in their paychecks starting in February.
The decision could affect more than 100 cases currently at the SEC, along with a dozen that are on appeal.
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
The deal brings together two fund families and financial advisory businesses.
Just as there is reversion to the mean in stock returns, there is reversion to the mean for stock volatility.
