If history is any indication, the financial markets are likely to rally following the Nov. 2 elections
Securities America Inc. has picked up Verus Capital Partners LLC, a Scottsdale, Ariz., firm with $225 million in assets and 20 advisers.
Anderson Strudwick Inc., a small, Richmond, Va.-based regional firm, continues to pick up offices and reps of troubled broker-dealers.
The Securities and Exchange Commission is targeting compensation practices across the brokerage industry — specifically the large upfront bonuses firms pay many brokers and advisers when they leave one firm and join another.
Elton Johnson, owner of Amerivet Securities Inc., has made a name for himself by being a thorn in the side of the Financial Industry Regulatory Authority Inc.
Returns from debt securities issued by companies that have defaulted or are close to defaulting are down from their double-digit gains of last year, but distressed debt is still a bright spot for investors
It isn't an overstatement to say that the future of the advice business hangs in the balance as federal agencies conduct scores of studies and write hundreds of regulations designed to carry out the sweeping mandates of the Dodd-Frank financial-reform law
Clients know that it is necessary to buy homeowners insurance and car insurance, but too many leave it at that
Getting clients to think long-term in terms of investing is easier said than done, particularly after the 2008 market meltdown and, more recently, the May 6 flash crash, said financial advisers who attended The Charles Schwab Corp.'s Impact conference in Boston last week
The United States risks an extended period of low economic growth with little job creation and additional emergency measures being considered by the Federal Reserve aren't likely to work, said Christopher Pissarides, the winner of this year's Nobel Prize for Economics.
The U.S. Securities and Exchange Commission is poised to ban brokers from letting clients make unsupervised trades on stock exchanges, as it grows increasingly concerned that a rogue transaction could roil markets
Escalating medical costs and increased expenses associated with the health care reform law are driving double-digit increases in health insurance premiums at many financial advisory firms
Financial advisers are up in arms about the prospect of Finra's taking over the regulation of investment advisers from the SEC — an idea that has been gaining steam in recent months
During the busy fall conference season for financial professionals, virtually every agenda includes coverage of issues associated with regulatory reform and the extension of the fiduciary standard to brokers and dealers who provide advice to retail investors
Team Asset Strategy's Dailey says falling currencies will continue to boost price of precious metal
With the SEC severely understaffed, investment industry officials are saying its becoming more likely than ever that advisers may find themselves regulated by a new body. The most likely candidate? Finra.
Gold may advance 8 percent to a record $1,406 an ounce in a year, according to the average in a survey of those attending the London Bullion Market Association's conference in Berlin this week.
“I thought Twitter was something Brett Favre uses to pick up women.”
Through the first three quarters of 2010, donations are up 274% compared to last year
Lack of cost-of-living adjustment for Social Security hits retirees where it hurts, advisers say
