A mantra of tax-efficient investing is to harvest capital losses and defer all gains.
The economic downturn is forcing some baby boomers to raid their 401(k) plans and halt their savings, which could have a negative effect on their retirement, according to a new study.
Pershing LLC subsidiary iNautix LLC on Wednesday will introduce a next-generation document management solution geared toward introducing broker-dealers, investment professionals and independent registered investment advisers.
Fix the dollar, and a lot of other problems will disappear — or at least be eased.
On a recent cross-country flight, I sat next to a gentleman employed by a large technology consulting firm that assists Fortune 100 companies in implementing multimillion-dollar systems.
Ethanol, wind farms and other green technology might prove more beneficial to the environment than to investors.
Laserfiche, an electronic-document-management system firm, announced this the latest version of its software.
LPL Financial, the nation's largest independent-contractor broker-dealer, is on the lookout for plum acquisition candidates, although a top executive says growth through current advisers is the company's prime goal.
What a time to be tightening the Securities and Exchange Commission's budget.
A new software service lets employers benchmark 401(k) plan costs.
Independent broker-dealer Transamerica Financial Advisers Inc. is rolling out a soup-to-nuts paperless document management and e-signature system called TFA Synergy, and some advisers who have used it report that it saves time dramatically.
The SEC has filed an injunctive action against James G. Marquez, a principal of the failed Bayou Fund.
Former employees of Morgan Stanley and Janney Montgomery Scott LLC were indicted on kickbacks and fraud charges.
BlackRock Inc. has hired Craig Phillips to head its financial markets advisory group, a unit of BlackRock Solutions.
A Florida pension fund yesterday filed suit against AIG and four executives of making misleading statements about the company’s finances.
The Securities and Exchange Commission is investigating Franklin Bank after an internal probe revealed accounting errors tied to residential real estate loans.
Despite the economic downturn, demand for small-business 401(k) plans remains strong, according to ShareBuilder Advisors.
When they started their partnership in 1990 at Morgan Stanley, brokers Gerald P. Kessler and Paul S. Baker probably never imagined that the dissolution of their book of business — $470 million in assets, producing an estimated $3 million a year in fees and commissions — would hinge on a coin toss.
The U.S. subprime meltdown will result in more-stringent banking regulations, according to former Sen. Paul Sarbanes.
