Business Logic Corp., a managed accounts software firm, is suing Morningstar Inc., claiming the company illegally replicated some of its software
The process of shopping for new technology can be daunting for advisers. Here's 9 best practices to make your life easier.
From improperly storing client data to misusing document management systems, here are the top mistakes technology experts see advisers making.
Fidelity Institutional's Office of the Future demonstrates how advisers can use technology now.
Catch up on the next “wow factor” tech trends, ideas and products that will rock the world of financial advisers and their clients in the not-so-distant future.
Here are some guidelines for deciding whether to buy technology tools or gadgets for staff. Or, how to strike a balance between productivity and reward.
While on the surface a merger may seem like an easy decision for advisers to make to move their firm to the next level, it's important to understand and appreciate the complex operational, cultural, and philosophical changes that will need to take place to keep your business running smoothly.
Looking for the future of adviser technology? Then look no further than the annual Consumer Electronics Show because most innovations in business technology trace their roots to innovations originally targeted towards consumers.
Agency approves rule to throw more candidates into nonpublic pool.
SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.
Plus: Janet Yellen's dovish optimism, Ernst & Young's $4 million lobbying settlement, how Citigroup agreed on that $7 billion figure, and QE has had almost no impact on unemployment
Patricia Miller promised clients high yields if they went into “investment clubs.”
<i>Breakfast with Benjamin:</i> Barclays tagged for HFT. Plus: A looming 401(k) crisis, the marriage math for gay couples, the fuzzy math of inflation data, tapping into the fracking boom, and Russian stocks are not for the meek.
Thirty-one of 37 brokers at IAA Financial, partly owned by Finra board small firm rep Kevin Carreno, came from firms Finra had expelled.
Agency says Scott Valente convinced 80 investors in upstate New York to turn over $8.8 million in the last four years.
Former SAC Capital Advisors LP hedge fund manager Michael Steinberg was sentenced to three-and-a-half years in prison for insider trading, capping one of the biggest victories for prosecutors who spent seven years investigating the firm and its boss, Steven A. Cohen.
Five former aides to Bernard Madoff who spent decades working for his firm were found guilty of helping run the biggest Ponzi scheme in U.S. history, a $17.5 billion fraud exposed by the 2008 financial crisis.
Elaborate scheme allegedly included destroying evidence by eating Post-It notes beneath the clock at Grand Central Terminal
Martin Lack admitted that for 17 years he helped U.S. clients maintain secret overseas accounts.
