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.
Has anyone noticed that the financial advisory industry is shrinking?
For the first time, starting in July, Citigroup Inc.'s managed-account platforms will start advising Smith Barney reps and Citi private bankers on when to buy and sell specific money managers and mutual funds for their clients.
The Energy and Tax Extenders Act may be taken up next week by the House of Representatives.
The document-management unit of Compulink Management Center has announced the release of Laserfiche 8.
What would be the financial consequence if one of your clients lost his or her physical and/or mental independence?
