RBC Wealth Management continues to add financial advisers from competing brokerages and has now recruited a two-person team from Stifel Nicolaus, a subsidiary of Stifel Financial Corp.
Two broker-dealers are coming out swinging against investors and securities regulators who are looking for redress over the sale of private placements that went belly up last year.
The broker-dealer has fired back at a state regulator with some stinging accusations of ignorance.
PriceMetrix Inc. is introducing a market-based commission guide today that financial advisers can use to determine what to charge for commissions on securities trades.
The SEC's Regulation S-P puts many advisers in a bind.
A pleasure cruise down memory lane, with some of the best spots ever seen on TV. Join the fun -- and tell us your favorite
Good sense has vanished from many areas of American life including how families manage their money, says economist and television commentator Ben Stein.
Chardonnay-sayers proved wrong, as fine wine index hits new high after tanking in 2008
How can an Advisor or a Firm "own" someone else's money?
Merrill Lynch is carving out some of its private banking units from the broker recruiting protocol.
In the old days (pre 2004), firms would sue each other when an Advisor went from one firm to the other. “We own the book!” they cried (as if any firm or individual could somehow “own” someone else's money).
Take a look at a simple example and see under what circumstances an immediate annuity might be appealing.
Clients should be armed with as much data as possible when making investment decisions
During the 1990s, inflationary Federal Reserve policy fueled a tech stock bubble. When that bubble burst, the Fed inflated a larger one in real estate. Now that the real estate bubble has burst, the Fed is inflating the biggest bubble of them all -- a government bubble.
Broker -- and candidate for the U.S. Senate -- says the latest government plan will further distort the underlying economics of the real estate market
In the old days (pre 2004), firms would sue each other when an Advisor went from one firm to the other.
Apple Inc.'s introduction of the IPad help boost the investment value for its top 20 owners by as much as $16.9 billion since the day before Chief Executive Officer Steve Jobs unveiled the device.
Maine securities regulators say Merrill Lynch will pay the state $400,000 to resolve claims that the brokerage allowed some of its associates to sell securities without being properly registered.
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