Mind-body expert says advisers ignore cyberchatter at their own peril
Finra to make SRO case; adviser group to cite "substantial costs, bureaucracy"
Life is more complicated for advisers these days, who face increased pressure from investors to manage investment risk and communicate more frequently...
Here's a surprising stat from our 2012 survey of independent broker-dealers: 79.5% of independent broker-dealers permit their reps and advisers to use social media for professional purposes.
A jury in Houston found R. Allen Stanford guilty of 13 counts of fraud related to the sale of bogus certificate of deposits. The financier faces up to 20 years in jail for each count.
Firm joins the likes of LPL Financial, Commonwealth and Royal Alliance
Axa aims to offer VA policyholders a hike in account value if they agree to cancel a generous death benefit. If the plan works, expect other insurers to follow suit. Says one industry watcher: 'The floodgates will open.'
Finds problematic numerous exemptions for various groups of investment advisers
