Lewis is latest hire charged with pushing advisers' agenda on Capitol Hill
A new bill in Congress would dramatically raise the fines meted out by the SEC. How dramatically? An individual firm could be hit with a $10 million charge -- per violation.
Financial advisers have several responsibilities toward their clients as the investigations into possible rate-fixing continue
Events that millennials attend with their parents are a great way to let clients serve as a conduit to the next generation
Morgan Stanley's earnings were down 50% in 2Q; MSSB's average annual revenue per rep now at $775K
Some 40% of new flows are going in Guidance Portfolios, a packaged strategy; 'counter-correlated sleeve'
Genworth's chief investment officer Ronald Joelson, who oversees $75 billion in assets, is leaving to join Northwestern Mutual Life Insurance.
Finra critic John Busacca has lost a court appeal of a disciplinary case that the regulator brought against him in 2006.
But according to police in Beverly Hills, one adviser may not fully grasp this concept. They claim the UBS broker has shot out 70 office windows in the area using a slingshot filled with marbles.
Head count on the rise; average annualized revenue now at $915K
