April Peterson is finding the business a little stressful but she's having an impact on clients' lives.
Financial advisers warn you should think carefully before reacting to Gov. Cuomo's latest proposal
The practice of dealers' showing clients different prices for the same securities on electronic bond-trading platforms is drawing the scrutiny of the Securities and Exchange Commission, which is concerned that smaller investors are being penalized.
Plaintiffs, represented by Jerome Schlichter, win mixed decision in a landmark 401(k) fee case as appeals court backs fiduciary claim against ABB but reverses decision against two Fidelity companies.
Finra freezes new arbitration cases in Puerto Rico as a flood of claims sends the regulator scrambling to find more arbitrators. Bruce Kelly has the story.
A group of medical professionals are suing their employer, health care provider Novant Health, arguing that the company violated its fiduciary duty by offering excessively costly 401(k) investments and overpaying its providers.
A ban on financial advisers' charging commissions in the United Kingdom has driven investors with small accounts out of the advice market, according to a mutual fund official in Europe, something that Department of Labor fiduciary opponents argue could happen here.
The first rule: If possible, don't file before 66. Second rule: If you can, file and suspend.
Bowing to industry concern, Finra says it will limit the personal data it collects in new monitoring program
Mitchell Sabshon plots a course for nontraded REIT sponsor Inland Real Estate Investment Corp. to recreate its prior success.
Racquel Oden promoted to help ramp up newly restructured PMD program.
Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. <b><i> <a href="http://www.investmentnews.com/section/video?playerType=Events&bctid=3117749314001&date=20140128">Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.</a> </b></i>
On Monday, the Supreme Court let stand a decision in the 7th U.S. Circuit Court of Appeals that permits employees of the defense contractor to proceed with a class action against the firm. The case will now go to trial.
Take Five interview with Ronald Long, head of Wells Fargo's new Elder Client Initiatives
Investors took a lot of profit before top rate rose to 23.8%, Obama health care tax took hold
Four page worksheet for assessing the most appropriate type of CCRC for clients
Practical guide for investors to analyze and identify their housing needs as they age
Two page directory of resources for investors and advisers
