Jacob Cooper's RIA used investor money to settle a prior SEC complaint and fight a class action claim from investors, the regulator alleges. <b><i>(Don't miss: <a href="http://www.investmentnews.com/gallery/20141231/FREE/123109999/PH" target="_blank">Most outlandish regulatory blunders of 2014</a>)</i></b>
The old guard of wealth management clashed with the new as Ric Edelman delivered a bleak assessment of his peers' future during a spirited debate with Adam Nash, the top executive at Wealthfront.
Tuesday's <i>Breakfast with Benjamin</i> features an adviser sentenced to 51 months of jail time for stealing from elderly clients. Plus: Bill Gross doesn't see a rate hike till late in the year, the latest bet for oil, and a don't-miss webcast sets the stage for 2015.
Determine the fate and future of your business before the regulators force you to do so
The SEC intends to approve an application by Capital Group, parent of the third-largest mutual fund company, to offer ETFs.
Solid and active networking strategy ensures advisers stay well-connected to clients and provides an opportunity to remain highly visible in a crowded market.
At a recent BlackRock event, fund manager Rick Rieder told about 100 advisers that he expects interest rates to remain low. The talk was enough to persuade at least one adviser to shift even more client money from Pimco to BlackRock.
Updates from our inaugural <i>InvestmentNews</i> 40 Under 40 class will convince you to make a nomination this year.
<i>Breakfast with Benjamin</i>: These plans are all the rage, but whether they provide any benefits to shareholders is a whole different issue.
The formal agreements are another way to take advantage of low interest rates
<i>Breakfast with Benjamin</i>: The bar will keep rising for banks as mixed stress test results come in for some of the world's largest banks.
Though the individual income tax return is a window into the past, what it reveals can shape savings and investment strategies into the future. Advisers can mine the 1040 for information and savings ideas for clients.
Drag the vertical slide left and right to compare how life has changed since 2000, the last time the popular index hit 5,000.
Calls for curb to 'egregious tax loopholes' that enable varying tax bills for investors with the same underlying assets.
'Abe-enomics' joins quantitative easing with corporate patriotism
Twitter reacts to Morgan Stanley's 'Margin Games' Hunger Games parody.
Knowledge about diversification, restrictions and concern about lawsuits drive decline.
Commissioner says administration ignores industry's stiff oversight by market regulators.
<i>Breakfast with Benjamin</i> A record Merrill Lynch signing bonus might have pushed its monetary limit. Plus: Loving European stocks but hating the euro, taking a fresh look at gold, and protecting the nest egg from rising drug costs.
Millennials, robo-advice and female clients top the IBD agenda.
