Consumer Financial Protection Bureau worried about investment scams.
Company agrees to pay $5M to settle the charge; 'clear violation'
Both Dems and Republicans urging new SEC boss to act
Facebook Inc.'s 6.3% drop yesterday, after the end of restrictions on share sales by its biggest investors, was the second-largest post-lock-up decline among companies that have gone public since January 2011.
Opinion: Facebook flop doesn't look good for Morgan Stanley
While advisers remain heavy users of Apple iPads, much of the world is picking up a new Android smart phone or tablet.
Timing unclear but mockups likely at the firm's annual Insite conference in June
SRO offers options on valuing vehicles like nontraded REITS on account statements.
Furey case raises questions about how agency handles internal affairs
More using social media to stay in touch with clients, keep up to date.
Insurer's B-D group now has more than 6,000 independent reps and advisers.
Recruiters say management at Woodbury Financial, which is being acquired by AIG's broker-dealer, has doubled down on retention packages in a bid to keep reps in their seats.
Joining the profusion of consumer financial applications out for the iPad today is Advisor Software Inc.
A vision of how good virtual conferences — and possibly even prospect and client meetings — might look in the future.
