Advisor News

Displaying 22829 results
Without housing revival, recovery lacks foundation: Fed adviser
ADVISOR NEWS RETIREMENT PLANNING MAR 30, 2012
Without housing revival, recovery lacks foundation: Fed adviser

Pall over property market a drag on economy, says William Strauss

By Jeff Benjamin
ADVISOR NEWS REGULATION AND LEGISLATION MAR 29, 2012
SEC accuses 'socially conscious entrepreneur' of running $11M church-based Ponzi scheme

Ephren W. Taylor II allegedly encouraged churchgoers to invest in gaming machines, badmouthed mutual funds

By Darla Mercado
Old home week as ex-Merrill execs join McCann on UBS super committee
ADVISOR NEWS WIREHOUSES MAR 29, 2012
Old home week as ex-Merrill execs join McCann on UBS super committee

Six-member team charged with retaking market share in the U.S.

By John Goff
ADVISOR NEWS INDEPENDENT BROKER DEALERS MAR 29, 2012
Edward Jones and Commonwealth tops with advisers

Pair of firms ranked No. 1 in J.D. Power and Associates for second year in a row

By AOSTERLAND
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred
ADVISOR NEWS REGULATION AND LEGISLATION MAR 29, 2012
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred

A B-D exec who 'crossed paths' with accused Afghanistan shooter Robert Bales claims his reputation has been severely tarnished by reports of his connection to the mass-murder suspect.

By Bruce Kelly
Ex-adviser Allen pleads guilty to insider trading
RIAS INDUSTRY NEWS MAR 29, 2012
Ex-adviser Allen pleads guilty to insider trading

Faces up to 57 months in prison after admitting in court that he betrayed his fiduciary duty to his employers by passing the tips to his friend.

By Doug Cubberley
ADVISOR NEWS IRA ALERT MAR 29, 2012
Paying the Roth conversion tax

By Ed Slott
IRAs suddenly of great interest to Washington
ADVISOR NEWS RETIREMENT PLANNING MAR 29, 2012
IRAs suddenly of great interest to Washington

Two new measures targeting the accounts introduced in the past week; source of savings, source of tax revenue

By Liz Skinner
Baucus' targeting of stretch IRAs a reach, say critics
ADVISOR NEWS RETIREMENT PLANNING MAR 29, 2012
Baucus' targeting of stretch IRAs a reach, say critics

Claim plan to rejigger taxes on inherited accounts could hurt savers with older spouses; 'a nonstarter'

By John Goff
Newest NBA rule: Players must provide their own (safety) net
ADVISOR NEWS RETIREMENT PLANNING MAR 28, 2012
Newest NBA rule: Players must provide their own (safety) net

Financial troubles of retired players sees union, league set up mandatory retirement savings plan

By John Goff
ADVISOR NEWS REGULATION AND LEGISLATION MAR 28, 2012
FDIC laces into ex-NFL star quarterback in suit

Accuse Bears' legend Jim McMahon of 'gross negligence' as director of Broadway Bank

By John Goff
Senate Dems look to hold up investment bill backed by the President
ADVISOR NEWS REGULATION AND LEGISLATION MAR 28, 2012
Senate Dems look to hold up investment bill backed by the President

Crowd-funding bill has overwhelming bipartisan support, but new roadblocks appear

By Mark Schoeff Jr.
Regulators to scrutinize nontraded business development companies
INVESTING ALTERNATIVES MAR 28, 2012
Regulators to scrutinize nontraded business development companies

Coming Finra investor alert for business development companies could highlight concerns similar to those of nontraded REITs

By Bloomberg
Behringer Harvard client wants answers after seeing fund drop by 96%
RIAS INDUSTRY NEWS MAR 28, 2012
Behringer Harvard client wants answers after seeing fund drop by 96%

An investor has seen her real estate investment with Behringer Harvard Holdings drop by 96% and she is appealing to Finra for answers.

By Bloomberg
All-in purchase of MSSB could singe Morgan Stanley's credit rating: Analysts
ADVISOR NEWS WIREHOUSES MAR 27, 2012
All-in purchase of MSSB could singe Morgan Stanley's credit rating: Analysts

Say swifter acquisition of remaining Citigroup stake would likely involve leverage

By AOSTERLAND
Merrill adds a few heavyweights to herd
ADVISOR NEWS WIREHOUSES MAR 27, 2012
Merrill adds a few heavyweights to herd

By Andrew Osterland
Indie B-D reps flocking to fixed indexed annuities
ADVISOR NEWS RETIREMENT PLANNING MAR 27, 2012
Indie B-D reps flocking to fixed indexed annuities

Fixed indexed annuities were a hot product among independent broker-dealer reps last year as clients sought a safe-money alternative to CDs, made virtually worthless by low interest rates.

By Bloomberg
Support for financial reforms strong with those over 50: AARP
ADVISOR NEWS REGULATION AND LEGISLATION MAR 27, 2012
Support for financial reforms strong with those over 50: AARP

More than half of those surveyed by AARP want Dodd-Frank reforms on consumer protection implemented

By Liz Skinner
ADVISOR NEWS RETIREMENT PLANNING MAR 27, 2012
The 25 largest variable annuity providers

By Mark Bruno
SEC maximizes performance-based fee minimums
ADVISOR NEWS REGULATION AND LEGISLATION MAR 27, 2012
SEC maximizes performance-based fee minimums

Critics have long claimed that advisers should not be allowed to charge performance-based fees when working with unsophisticated clients. Now, the SEC has weighed in, dramatically increasing the net-worth a client must posses to qualify for such a pricing arrangement.

By Dan Jamieson