When comparing investment options, advisers need to look beyond traditional benchmarks such as alpha and fund manager tenure
In one of my recent OpINion Online columns, I compared wirehouse management to communist regimes before the fall of the Berlin Wall
Mutual fund companies are reporting a brisk business in Roth IRA conversions as a result of a change in the tax law, but there is one segment of the public that is decidedly cool to the idea, even though their financial advisers are urging them to take the plunge.
Barclays Wealth has hired Don Milich and Clifford Wang as investment representatives, based in Atlanta, as part of its effort to continue growing its wealth management operations in the U.S.
The clock is running down on home purchasers looking to qualify for a hefty tax break. But a new proposal in Congress would cut these buyers -- and those who lend to them -- a little slack.
Barbara Jones sentenced the former WorldCom boss to a long stretch in prison. But attorneys say she's lenient to those who cooperate
The Financial Industry Regulatory Authority Inc. announced today that it has hit Citigroup Global Markets Inc. with a monetary sanction for supervisory violations relating to its handling of trust funds belonging to cemeteries in two states.
Plying a path that sometimes has proven perilous, DeWaay Financial is staking its claim in the marketplace by offering financial advisers and their wealthy clients access to high-stakes private-equity, venture-capital and investment-banking deals.
While getting pilloried in hearings before the Senate Permanent Subcommittee on Investigations, representatives from The Goldman Sachs Group Inc. characterized their firm as a market maker, denied that they had fiduciary status, and displayed apparent bewilderment at the senators' questions about legal or ethical obligations to place clients' interests first.
The securities regulator aims to boost transparency -- and curb conflicts of interest -- in the $2.8T municipal issuance industry
Regulator charged McGinn Smith with “misusing” investors' funds in the sale of $89 million in private notes
Brokers who work with retirement plans may soon lose clients to registered investment advisers, thanks to a rule that the Labor Department is expected to approve this summer.
The teen game platform omgpop.com offers some useful lessons on how to get market participants to change their behavior.
Small advisory firms shopping for modestly priced portfolio re-balancing and trade order management software might want to look into Rebalance Express.
Enrollment in high-deductible health insurance plans linked to health savings accounts continues to surge, with the biggest growth in plans offered by larger employers.
The U.S. House approved legislation to extend unemployment insurance, restore some tax breaks and raise taxes on managers of buyout funds and other investment partnerships.
Finra is proposing registration requirements for some back-office supervisory positions.
