Finra continues to focus on nontraded real estate investment trusts
Patrick Evershed, a former New Star Asset Management Holdings Inc. fund manager, was bullied by company founder John Duffield, who called him a “criminal” and a “moron,” according to Mr. Evershed's lawyer
Sapient Private Wealth Management, a fee-based investment adviser in Eugene, Ore., last week joined Focus Financial Partners LLC, marking the eighth transaction completed by Focus this year
In many columns, I have examined the choices available on custodial technology platforms, either built or under construction
The Securities and Exchange Commission engaged in an unprecedented crackdown on investment advisers over the past year, contributing to an overall surge in agency enforcement
Greek contagion would likely take down the banking systems of several eurozone nations; ball's in your court, Germany
The demise of Jon Corzine's brokerage shows little has changed in how the former Goldman boss -- or Wall Street itself -- do business since the demise of Lehman Brothers. Author William D. Cohan weighs in.
SIPC files suit against MF Global claiming brokerage can't pay clients
Before they march down the aisle, engaged couples rarely discuss who'll pay the electric bill or how much to save once the knot is tied. Maybe they should.
Fed's tougher capital tests could throw a spanner into the works for buybacks as well
Competition fierce as number of millionaires in Asia set to double by 2015; plenty of offers on the table
Survey shows many workers will have to stay on the job years longer before they can afford to retire
Finra acknowledged that disgraced Wall Street titan Jon Corzine was given a waiver for his Series 24 and Series 7 exams, even though Corzine had been out of the brokerage industry for years. | <b>Readers react angrily:</b> <i>'One rule for one, another rule for the rest of us'</i> | <a href=http://bit.ly/uUgU7C>Join the debate</a>
Here are some examples of ways that financial advisers can help clients to reduce their tax burden.
The SEC's announcement last week that it had threatened to sanction Finra because a senior official doctored minutes from internal staff meetings is an embarrassing black eye to the securities industry's watchdog as it pushes to expand its authority to regulate investment advisers
For SEC Chairman Mary Schapiro, last week's dust-up involving Finra is the latest in a string of embarrassments she has endured since taking over the embattled agency in 2009
With yields matching, even surpassing comparable Treasuries, municipals suddenly big with advisers
A handful of top-tier advisers and teams have changed firms in the last 30 days, according to our <a href=http://www.investmentnews.com/section/recruiting-moves&fromdate=20111019&todate=20111118&sortorder=aum%28desc%29>Advisers on the Move</a> database.
New approach divides fund offerings into a trio of goal-based portfolios
