Advisor News

Displaying 26679 results
Gingrich's charitable giving not so charitable, data show
RETIREMENT PLANNING APR 18, 2012
Gingrich's charitable giving not so charitable, data show

Candidate's donations lower than most in his income bracket; conservatives tend to give more

By John Goff
INDEPENDENT BROKER DEALERS APR 18, 2012
LPL isn't only B-D that hits brokers with an affiliation fee

LPL Financial LLC isn't alone in charging registered representatives and financial advisers a flat fee for doing business with the firm

By Bruce Kelly
Thundering Herd should stay stable post-Krawcheck
WIREHOUSES APR 18, 2012
Thundering Herd should stay stable post-Krawcheck

Life continues to get more complicated for Merrill Lynch advisers operating under the umbrella of beleaguered parent Bank of America Corp.

By Andrew Osterland
Vanguard's point man in Washington: Uncertainty abounds on tax policy
REGULATION AND LEGISLATION APR 17, 2012
Vanguard's point man in Washington: Uncertainty abounds on tax policy

Delaplane tells advisers he's not optimistic that 'grown-ups' will prevail on Capitol Hill

By LKUYKENDALL
New iPhone coming in October, says analyst
FINTECH APR 17, 2012
New iPhone coming in October, says analyst

Release date pushed back due to supplier delays; parts is parts apparently not true

By John Goff
FINTECH APR 17, 2012
Apple: A $600 value stock?

With Apple Ticker:(AAPL) opening up trading today at $600 per share - and up more than 500% since 2009 - it's hard to think of Apple as a value stock. But that may well be the case, according to one portfolio manager.

By Mark Bruno
Market volatility? Don't blame ETFs, says ICI
ETFS APR 17, 2012
Market volatility? Don't blame ETFs, says ICI

New research from industry groups shows that macroeconomic events are more to blame for volatility than exchange-traded funds

By Jason Kephart
Score one for the little guy; Obama's budget proposal bonks big guys, helps planless savers
RIA NEWS APR 17, 2012
Score one for the little guy; Obama's budget proposal bonks big guys, helps planless savers

Families earning more than $250K lose incentive; those without plans can access an auto-IRA

By Darla Mercado
2011 good sign money market reform not needed: ICI
RETIREMENT PLANNING APR 17, 2012
2011 good sign money market reform not needed: ICI

Says funds have held up despite fears of a global recession and drama on the Continent

By Jason Kephart
ASPPA, record keepers ask DOL for extension on plan fee disclosure
RETIREMENT PLANNING APR 17, 2012
ASPPA, record keepers ask DOL for extension on plan fee disclosure

The American Society of Pension Professionals and Actuaries and its sister organization The Council of Independent 401(k) Recordkeepers have asked the Labor Department for more time to meet enhanced fee disclosure requirements.

By Darla Mercado
ASPPA to Congress: 'Hands off our tax breaks'
RETIREMENT PLANNING APR 17, 2012
ASPPA to Congress: 'Hands off our tax breaks'

Group storms Capitol Hill to protect retirement savings vehicles

By Bloomberg
RETIREMENT PLANNING APR 16, 2012
States with sky-high property taxes

By John Goff
Goldman Sachs to pay $22M to settle analyst huddle claims
REGULATION AND LEGISLATION APR 16, 2012
Goldman Sachs to pay $22M to settle analyst huddle claims

Goldman Sachs failed to implement policies to keep its stock analysts from tipping select clients about upcoming research changes, SEC says.

By Doug Cubberley
Bankers Life settles charges it ran unlicensed B-D operations
LIFE INSURANCE AND ANNUITIES APR 16, 2012
Bankers Life settles charges it ran unlicensed B-D operations

Insurer to pay nearly $10M to close case; states claim carrier had commission arrangement with Uvest, ProEquities

By Darla Mercado
FINTECH APR 16, 2012
Scottrade bets on tech for growth

By Janowski Davis
FSI lays into Labor Department on fiduciary proposal
RETIREMENT PLANNING APR 16, 2012
FSI lays into Labor Department on fiduciary proposal

Advocacy group demands update on rule revamping; 'withdraw and re-propose, not withdraw and walk away'

By Darla Mercado
Pacific West Securities ordered to pony up $2.1M over TICs
REGULATION AND LEGISLATION APR 16, 2012
Pacific West Securities ordered to pony up $2.1M over TICs

A Finra arbitration panel has awarded a couple $2.1M over unsuitable tenant-in-common exchange investments

By Bruce Kelly
FSI to Labor Dept.: We'll send IRA info ASAP
RETIREMENT PLANNING APR 16, 2012
FSI to Labor Dept.: We'll send IRA info ASAP

But broker-dealer group still not convinced applying fiduciary standard to IRA advice necessary

By Bloomberg
RIA NEWS APR 16, 2012
Jackpot-winning asset managers are on the ball

By Andrew Osterland
Lawmakers, adviser groups gird for another fiduciary-rule battle with DOL
RETIREMENT PLANNING APR 16, 2012
Lawmakers, adviser groups gird for another fiduciary-rule battle with DOL

By Mark Schoeff Jr.