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RIAS OCT 08, 2014
11 slides prove the demand for financial advice isn't going away

The top-level results from an InvestmentNews Research study show that despite changes in client service needs, demand for advisers should remain strong.

By Matt Sirinides
PRACTICE MANAGEMENT OCT 07, 2014
The most valuable thing an adviser can do for clients in 2015

How to make 2015 'the year of the client' and set up advisory firms for sustained success

By Charles Goldman
REGULATION AND LEGISLATION OCT 07, 2014
Finra names new head of arbitration

A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.

By Mark Schoeff Jr.
RETIREMENT PLANNING OCT 07, 2014
Ex-Ameriprise adviser pleads guilty to stealing nearly $1 million

Susan Walker admitted to accusations she used $980,000 of client assets to pay for personal expenses, including vacations and private school tuition.

By Mason Braswell
PRACTICE MANAGEMENT OCT 07, 2014
UBS settles with Puerto Rico regulators for $5.2M over bond improprieties

By Mason Braswell
BROKER DEALERS OCT 07, 2014
Finra sues B-D owner for improper marketing of unregistered securities

Bruce Meyers allegedly inappropriately pushed an offering for a pharmaceutical company he co-owns.

By Bruce Kelly
PRACTICE MANAGEMENT OCT 07, 2014
Wall Street moles go to New York's top cop, spurning SEC cash

Whistle-blowers might rake in more by dealing with the feds, but they're frustrated by slow process.

By Bloomberg
MUTUAL FUNDS OCT 07, 2014
Bill Gross may have to drop 'New Neutral' moniker at Janus

Pimco claims a trademark over the macroeconomic forecast Gross calls 'critical.'

By Trevor Hunnicutt
PRACTICE MANAGEMENT OCT 07, 2014
SEC charges ex-Axa broker with running $1.5 million Ponzi

Dennis Wright allegedly stole money from at least 28 customers, including childhood friends and inexperienced investors.

By Mason Braswell
PRACTICE MANAGEMENT OCT 07, 2014
Merrill asks $2.5 billion team to leave

The advisers allegedly violated Finra rules and firm policy by encouraging some of their larger clients to invest directly in hedge funds.

By Mason Braswell
EQUITIES OCT 07, 2014
Bob Doll: Why the bull market isn't ending anytime soon

With all eyes on the Fed, Nuveen's Bob Doll explains why the U.S. market rally should continue.

By Robert C. Doll
INDUSTRY NEWS OCT 07, 2014
A 20% allocation to gold? Seriously.

Given the shiny metal's price volatility, a lower exposure makes more sense, detractors say.

By Jeff Benjamin
EQUITIES OCT 07, 2014
How to help clients take on the right amount of risk

Careful attention to portfolio construction can keep your clients from making financial decisions driven by emotional reactions.

By Charles Goldman
RETIREMENT PLANNING OCT 07, 2014
AIG promotes Peter Hancock to CEO, replacing Benmosche

After paying off $182.3 billion bailout, insurer focused on property-casualty coverage, life insurance and retirement.

By Gregory Crawford
ETFS OCT 06, 2014
Janus buys ETF shop Velocity Shares

Fresh off of bringing on <a href=&quot;http://www.investmentnews.com/article/20141006/FREE/141009964/bill-gross-speaks-out-on-pimco-exit-vows-to-regain-crown-at-janus?issuedate=20141006&amp;sid=GROSS&quot; target=&quot;_blank&quot;>Bill Gross from Pimco</a>, the fund manager makes dramatic expansion in exchange-traded business.

By Trevor Hunnicutt
RETIREMENT PLANNING OCT 06, 2014
Could this app get your spending under control?

Study finds that users spent 15.7% less when tracking dollars with a mobile app.

By Joyce Hanson
RETIREMENT PLANNING OCT 06, 2014
How public employees can get around Social Security restrictions

Specific steps can minimize the bite of rules that reduce or eliminate Social Security benefits for public workers.

By Mary Beth Franklin
RETIREMENT PLANNING OCT 06, 2014
How public employees can get around Social Security restrictions

Specific steps can minimize the bite of rules that reduce or eliminate Social Security benefits for public workers.

By Mary Beth Franklin
EQUITIES OCT 06, 2014
Equity markets buckle up for FOMC minutes, Alcoa earnings

<i>Breakfast with Benjamin:</i> Equity investors brace for insight from Janet Yellen and the Fed today. Plus: ETFs chase the freed-up Pimco assets, breaking down the bond market fears, Morgan Stanley says the auto industry's days are numbered, and Warren Buffett makes another safe bet.

By Jeff Benjamin
RIAS OCT 06, 2014
Solution to nation's saving problem? There's an app for that

Study finds that users spent 15.7% less when tracking their spending with a mobile app.

By Joyce Hanson