A continuing three-year, 35-state investigation into the practices by which life insurers pay death benefits may spawn more-stringent requirements for locating beneficiaries
Financial advisers have begun to incorporate video into their marketing as a key client communication and business development tool.
Like E.F. Hutton, PaineWebber and Dean Witter, the venerable name of Smith Barney is likely to be relegated to the ash heap of Wall Street history
Whopping bonuses, exorbitant salaries encouraged risk-taking, leverage; 'poachers better paid than the game-keepers'
Which individuals will have the greatest impact on financial advisers and the overall industry in 2012? InvestmentNews highlights the 20 most powerful people of 2012, according to our editors and reporters.
Rudy Adolf said he became convinced that RIAs were the future of the investment management business back in the late 1990s, when he was running a traditional brokerage firm.
Shlomo Benartzi has always had a knack for figuring out what motivates people. For example, when he was in elementary school in Israel, he quickly figured out how to escape the boredom of a typical math class.
As leaders of Europe's linchpin economy, German Chancellor Angela Merkel holds the fate of the global economy in her hands.
One moviement is highly organized and bent on getting people elected who share its conservative beliefs.
No matter how you slice the data, Commonwealth Financial Network LLP comes out as one of the top independent broker-dealers in the nation — and a big part of that success has been its technology.
Investment advisers don't seem thrilled by the prospect of switching from SEC oversight to an SRO -- particularly if that SRO is Finra. Now comes word that advisory firms might pay twice as much in fees if Finra were to take the reins from the Commission. (photo: lobstar28)<br> <b>EXTRA</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111202&Category=FREE&ArtNo=120209999&Ref=PH>The secrets of less-successful advisers &raquo;</a>
Affluent investors are just as anxious about having enough money to retire as everyone else.
It didn't take long for Daniel Gallagher, the SEC's newest commissioner, to disagree with the agency's chairman, Mary Schapiro.
The Securities and Exchange Commission has blundered badly in the past decade, missing several major scandals, including the Enron fraud and the Madoff Ponzi scheme. Most recently, its proposed settlement with Citigroup Inc. was rejected by a federal judge.
Commission asks Congress for powers to handle cases administratively; no risk of consent agreements
Most analysts see no end in sight to rise in price of bullion; copper's a different story
Judge rejected initial $285M deal; money only place for 'any latitude'
Rakoff seems skeptical of deal with SEC; down this path before
Investors' wariness of equities is prompting some mutual fund companies to expand their menu of offerings to include more bonds and alternative investments
