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.
Investor Phillip Frost, the largest shareholder in and chairman of Ladenburg Thalmann Financial Services Inc., issued a challenge Friday to the independent-brokerage business, saying that the firm's plans to expand are second to none.
Rate of return to recoup loss greater than the loss itself
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Group touting the virtues of pre-paid tuition program that locks in rates at non-state schools
Number of RIAs down 1%; the good news: AUM up 13.7%
Parents who use Section 529 college savings plans are steadily outpacing those who don't use the tax-advantaged investments, according to a new survey by the College Savings Foundation
Hot October propels Total Return Fund up the performance ladder
Pimco bond king issues mea culpa to clients about fund's performance; 'new normal' too optimistic
Janjuah expects precipitious fall in large-cap index; earlier calamitous prediction didn't pan out
'Marketing gimmick' misleading for retail clients and sophisticated investors; only market certainty is that stocks will rise, fall
Two Houston men have been sentenced to spend more than 45 years in prison for their role in a massive life settlements fraud scheme.
Famed market analyst believes large-cap bellwether may fall as low as 1,076 before rally ensues
NAIC's summer meeting in Philadelphia washed out by Hurricane Irene; decision on disclosure model to come later this month
New fund launched by ex-Berkowitz employees heavy on tech, light on banks; seen as a possible selling point
The state of Iowa finally issued it's long-awaited guidance on what insurance agents and securities brokers can — and can't —do when working with clients
