The cost of liability insurance is expected to increase up to 20% at some broker-dealers in response to rising arbitration claims by investors after the market crash.
Fund manager concentrates on a handful of broad themes that are generally applied to midsize companies – that is, businesses with market capitalizations between $1 billion and $10 billion.
The looming expiration of the Bush-era tax cuts could throw a wrench into some dividend-investing strategies, according to Henry Sanders, manager of the $230 million Aston/River Road Dividend All Cap Value Fund Ticker:(ARDEX).
Want to profit from the credit squeeze on cash-strapped companies?
The Hartford Financial Services Group Inc. has named Sharon Ritchey head of retirement plans in its wealth management division, replacing Jamie Ohl.
Submitted for your approval: A most unusual investment theory
Charges could lead to loss of firm's Finra registration, source says
It was another tough year to be a financial adviser — or at least that seems to be one of the conclusions of The Charles Schwab Corp.'s RIA benchmarking study.
Schwab survey also uncovers drop in margins, slowdown in number of new clients
John C. Walters is being replaced by David N. Levenson, an executive vice president leading The Hartford's in-force domestic variable annuity business.
Inability to meet Finra's net- capital requirements will force more small and independent broker- dealers to shut down this year.
The N.Y. attorney general sues Ivy Asset Management, claiming the firm misled customers about investments tied to Bernard Madoff
You'd think $3M or so in investible assets would make a person feel rich. Not so, say the well-off.
Judging by the results of <i>InvestmentNews</i>' 2010 Industry Attitudes survey, the financial crisis and market crash seem to have changed the behavior of financial advisers and clients for the better
Wealthy pocket savings, research finds; stock market biggest factor in affluent's spending habits
DJIA could drop as low as 8,000, says famed forecaster; in a lather over head-and-shoulders pattern
Connecticut's insurance regulator yesterday shot back at critics of insurers' use of so-called retained asset accounts.
Analysts question whether planned cost savings will be offset by proposed cap on mutal fund fees
Montana Commissioner of Securities Monica Lindeen has announced a nearly $1 million settlement with a Seattle-based securities firm for a Ponzi scheme operated by one of its brokers.
In an apparent first for the retirement industry, John Hancock Retirement Plan Services is now offering 401(k) participants a choice between target date funds that plan for investments “to” retirement and “through” retirement.
