Nimble investors could jump on some attractive acquisition candidates ahead of the unfolding 2011 takeover wave, according to the latest research from Morningstar Inc.
The 24-employee unit will continue to work out of seven different cities
Bipartisan members of the Senate Judiciary Committee introduced a bill Thursday that would remove exemptions for the Securities and Exchange Commission to a law that promotes openness at federal agencies.
Former staffer allegedly fired for wanting to question John Mack about possible insider trading at Pequot Capital
SEC claims broker churned accounts of the Sisters of Charity
First Allied Securities Inc., Janney Montgomery Scott LLC and Raymond James Financial Inc. are among a number of broker-dealers preparing for a spike in financial advisers' use of firm-sponsored, fee-based money management programs if brokers are to be held to a fiduciary standard of care.
Looking to diversify and raise cash to pay taxes, big-producing and long-tenured advisers affiliated with LPL dumped shares and cashed out during the company's initial public offering this month.
Voter backlash could preserve indie reps' employment status
The American Funds Growth Fund of America (AGTHX), Pacific Investment Management Co. LLC's Total Return Fund (PTTAX) and American Funds' EuroPacific Growth Fund (AEPGX) are the three most popular mutual funds in the 401(k) market, according to research being released today.
Lawsuit claims bank and HSBC placed large orders, then withdrew them
Most registered investment advisers had a solid 2010 — they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.
A proposal by Finra to develop a qualifying test for investment advisers has received a cool reception from adviser groups, which claim that it is part a continuing campaign by the regulator to broaden its powers
Things are looking decidedly gloomy once again for securities firms. Meredith Whitney predicts banks will pay out puny bonuses for 2010, then start laying off tens of thousands of workers.
Another small broker-dealer is closing its doors due to not having enough capital on hand to meet industry rules to remain open for business — <a href =http://www.investmentnews.com/apps/pbcs.dll/section?category=specialreporttemplate&issuedate=20100616&sid=bddown>at least the seventh B-D to shut down this year</a>.
Business groups, Republicans vow to dismantle the provision, piece by piece
The number of arbitration claims filed with the Financial Industry Regulatory Authority Inc. seeking repayment of forgivable loans from brokers who quit has more than doubled in the past two years.
The Securities and Exchange Commission is holding off forming several departments required under the Dodd-Frank financial reform law
