Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, <a href=www.investmentnews.com/section/multimedia?playerType=INTV>click here.</a>
Like many other industry groups, the American Society of Pension Professionals and Actuaries is redoubling its effort to communicate with federal lawmakers at a time when the massive federal budget deficit is causing Congress to consider new ways to produce revenue
With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come
Sen. Tom Harkin expected to introduce bill calling for small levy on buying, selling of investment instruments; could curb 'pointless trading'
A group of state insurance regulators voted yesterday to adopt amendments to an annuity disclosure model that would give customers a detailed breakdown of product features.
A former LPL Financial LLC financial adviser is suing the firm, alleging that the largest independent broker-dealer wrongfully fired him, and in turn defamed his reputation, for running a TV commercial that urged viewers to buy guns
A former district director of Finra's New York office has filed an age discrimination suit against the regulator, Reuters reported last week
The SEC conducted a flawed analysis to justify a $556.8 million lease for office space that turned out was largely unneeded.
David Becker, who quit as Securities and Exchange Commission general counsel before he was sued over inherited profits from Bernard Madoff's fraud, has rejoined the law firm where he worked before taking the SEC post.
Former PM at New Star Asset Management suing fund firm's boss; 'angry, antagonistic and unpleasant'
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
Set-up is purportedly simpler, fairer and will lower everyone's taxes; it fails on all three counts
UBS AG, Switzerland's biggest bank, will pay $12 million to resolve Financial Industry Regulatory Authority claims that a brokerage unit allowed millions of short-sale orders to be placed without reasonable grounds to believe that the securities could be delivered.
'Portability' of unused exclusions only guaranteed if surviving spouse files estate tax return swiftly
The following is an edited version of a speech given by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., Oct. 13 at the Security Traders Association's annual conference in Palm Beach, Fla.
Don't worry about a double dip, says Raymond James' chief investment strategist Jeff Saut.
State regulators and compliance experts are at odds about whether the states will be ready to take over regulatory responsibility for thousands of small investment advisers in March, some compliance experts said
Broker-dealers now have a low-cost way to clear their slate with the IRS if they have been misclassifying employees as independent contractors
