Rumors have been swirling for months about who would acquire Securities America, the embattled broker-dealer. On Wednesday, the guessing-game ended, as parent Ameriprise sold the B-D to Ladenburg Thalmann.
If you're recommending long-term-care insurance to clients as a way for them to protect assets and to care for themselves when they're old and sick, you're probably doing it incorrectly.
Another independent broker-dealer that sold high-risk private placements is hanging on by a thread, with the firm's management stating grave concerns about the broker-dealer's future
Escalating medical expenses and Medicare cutbacks will strain retiree budgets
Private placements strike again: Another independent broker-dealer that sold high-risk Reg D offerings appears to be struggling. This week, CapWest Securities' management filed a report with the SEC stating grave concerns about the B-D's future.
In the past few months, several of the top names in the advice industry have gotten out of the indie B-D business. What do they know that you don't? |<b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009998&Ref=PH>What the top RIA execs make</a>
Much has been written about the opportunity to undo, or re-characterize, a Roth IRA conversion if the assets in the account depreciate
Bernie Clark, head of Schwab Advisor Services, apologized last week to the firm's RIA clients, expressing regret for a marketing piece sent to advisers' clients who sponsor Schwab-held retirement plans
Jeffrey Thomasson, 52, may pass on more than $100 million to heirs using an estate-planning strategy for avoiding gift and estate taxes.
The Treasury's Federal Insurance Office yesterday announced that it's looking for public comments — with a special focus on systemic risk — as part of a report on modernizing insurance regulations.
Recently, the Tax Court ruled that a taxpayer's continuing business activities and lack of credible evidence failed to qualify him as disabled under the tax code
Suddenly, selling away is again a big concern for regulators and law enforcement agencies. In recent months, former reps at several marquee B-Ds have been investigated for allegedly peddling unapproved investments on the side. | <b>Extra </b><a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009998&Ref=PH>What top RIA execs earn</a>
Millions of investors are at risk of being defrauded because the SEC lacks the financial resources to do an adequate job of policing the advice business
Rich Lowrie serves as economic adviser to Herman Cain
Clients are crazy for annuities these days, but regulators have concerns. The top of the list? How carriers explain -- or fail to explain -- product features. | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111011&Category=FREE&ArtNo=101109994&Ref=PH>Nine mistakes clients make with their insurance</a>
Traders are placing more bets than any time since 2009 that the CBOE's Volatility Index will fall, a sign they expect concern about Europe's credit crisis to recede and the Standard & Poor's 500 Index to rally.
The investment adviser's job has never been more difficult
Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued.
