Regulator asking for list of top 20 producing reps at the targeted B-Ds who use social media.
Broker-dealers, feeling the heat from regulators, are changing how they sell alternatives. Bruce Kelly has all the details.
Barnaby Grist was a high-profile — and defining — hire for Cetera Financial in 2010. A little more than three years later, the head of the brokerage's wealth management unit is leaving due to personal reasons.
Economy, Medicare factor into new Fidelity forecast but decline is only temporary
Finra has charged brokerage chief Tommy Belesis and his firm, John Thomas Financial, with fraud in a front-running scheme to make $1 million on a penny stock. Bruce Kelly has the story.
Survey shows 401(k) clients at smaller businesses expecting ramped-up service; fees the only thing they want less of
Investors' approval of their advisers continues to increase after dropping sharply in the aftermath of the credit crisis. Liz Skinner tells why.
Stop us if you heard this one before: Finra has banned a broker who allegedly convinced scores of NFL stars to go into an unsuitable investment (this time, a casino). And yes, the deal went bust.
A proposal from Finra would require B-Ds — and possibly reps — to link to the broker database from their websites.
Claims wealth management unit engaged in questionable business practices in bid to land professional football clients
Since the dark days five years ago when Lehman failed and Merrill sold its brokers to Bank of America, advisers and financial markets have recovered but clients remain scarred and nervous, worried about a repeat. What are the chances?
The first boomers turned 65 in 2010 — and suddenly advisers had to think less about accumulation, more about principal protection
Dan Levin's radio show is called “Investment Talk,” but since last September, he hasn't had a license to sell investments as a broker. And he's not licensed to give investment advice as an adviser. What gives?
