America's oldest citizens don't have an effective way to choose a financial adviser they can trust, and are confused by the alphabet soup of certifications that claim to be focused on seniors.
Seen as bigger problem than in the past; 'much worse'
Restructuring puts two MetLife B-Ds under one roof, ups pressure to sell proprietary products.
Finra on Tuesday slapped LPL with a $7.5M fine, its largest ever for an email-related case. The brokerage allegedly failed to adequately oversee 28 million electronic messages over a four-year period.
In regulatory cross hairs, broker-dealers are putting limits on products and revising policies.
Robert Mulholland has breathed new life into the adviser ranks of UBS since the wirehouse's low point in 2009. It hasn't been easy. | <a href=http://www.investmentnews.com/gallery/20130509/FREE/509009998/PH>How does UBS rate with customers?</a>
A number of firms would likely be interested in buying Genworth's wealth management business — if it's on the block, that is.
MassMutual getting $54B in AUM in proposed deal, doubling plan participants
The Hartford is reining in investment options for some variable annuities, leaving advisers scrambling to find their clients who have them. That's raising worries about the amount of work — and potential liability — they may face.
With Mary Jo White at the helm, the SEC will try again at reforming money market funds. The new chairman is keeping her cards close to her chest but the industry is hopeful she'll play a good hand.
Firm sees 'simplicity' and 'transparency' in new fee structure for target group.
Adviser marketing expert Fox-Foley to focus on getting out the IBD's 'secret.'
Early reports suggest that The Hartford's buyback terms for some of its legacy VAs are extremely generous. How generous? Some clients can cash out early at full value.
