Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.
Possible speaker of the House of Representatives understands issues important to advisers better than most lawmakers.
Forget China and the Fed. Washington becomes the focus with Sept. 30 deadline for funding looming.
Advisers find eMoney CEO's resignation concerning and wonder what's next for the financial planning tool.
<i>Breakfast with Benjamin</i>: Investment manager Joseph Zada could face 20 years in prison after being convicted for bilking ex-Detroit Red Wings star Sergei Fedorov (pictured) out of $43 million.
A September hearing and possible riders attached to a spending bill could thwart DOL's efforts.
The smart management of outstanding mortgage payments is critical, even for high-net-worth homeowners.
As robos become more commonplace, sophisticated tech can set advisers apart.
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.
