Bolanis claims Christopher Sargent was putting elderly clients in unsuitable investments; Sargent, Wells deny accusations
Finra panel says brokerage stiffed muni trader who was owed years worth of incentive comp
Despite talk of possible purchase of Morgan Keegan, Taft says bank not eyeing 'transformational deals'
Commission tells JPMorgan securities unit not to do what it told it not to do two times before; third time's the charm?
Bank aims to attract clients by requiring lower minimums on investable assets than rivals
With half the world seeming to watch the other half through Skype and other online video tools, you would think that I would have no trouble finding financial advisers who use video conferencing effectively in their practices.
Connecting with clients and prospects on an emotional level — not merely meeting with them — is more important than ever
Reactions to the Certified Financial Planner Board of Standards Inc.'s new requirements for ethics continuing-education programs have been mixed
Naysayers aside, the CFP's TV ad campaign, part of a new national public-awareness effort, is just the message the retirement-nervous need to see right now.
Both the SEC and Finra have issued an alert about popular structured notes that claim to protect investors' principal. The problem? The notes don't always protect investors' principal.
Meredith Whitney's at it again. The controversial analyst is now predicting a 'waterfall' of muni downgrades which will trigger a massive sell-off by insurers. If she's right, investors may be able to pick up some bargains in the process.
Municipal-bond dealers failing to adequately disclose the risks of debt they handle should expect more disciplinary action, said Malcolm Northam, senior director of member regulation at the Financial Industry Regulatory Authority.
Michael Oxley, the former congressman who co-wrote the Sarbanes-Oxley Act of 2002, has registered as a lobbyist for Finra to promote its campaign to become the self-regulator of investment advisers
DC plan makes decisions for plan participants, nags them when they're not saving enough; Nobel laureate Merton one of the designers
Some employees in top bracket could face 15% reduction in account balances; lower-paid likely down 10%
Neuberger Berman minds client relationships with newly hired trio of defined-contribution wholesalers; asset gathering to come.
If so, auto-enrollment plans make a lot of sense
The largest U.S. broker-dealers may be asked to pay more than $1 million a year to fund annual inspections required by the Dodd-Frank Act, according to a proposal by the panel that oversees public-company audits.
Some claim they'll abandon the business if they're required to act as fiduciaries to retirement accounts, 401(k)s
New study reveals savers not saving enough -- and asset allocators not allocating assets enough
