RIA News

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RIA NEWS FEB 06, 2011
Government panel report is more sizzle than steak

The final report from the Financial Crisis Inquiry Commission is a disappointment

By MFXFeeder
RIA NEWS FEB 06, 2011
Profit expected from sale of AIG shares

The public will reap a profit as the U.S. government sells off the remainder of its holdings in American International Group Inc., chief executive Robert H. Benmosche said last week

By Darla Mercado
RIA NEWS FEB 06, 2011
Analyst predicting a whopping banking crisis for 2015

As politicians, executives and financiers networked at parties and panels recently in Davos, Switzerland, Barrie Wilkinson was in a nearby hotel, warning that a financial catastrophe may be looming in 2015

By Bloomberg
RIA NEWS FEB 06, 2011
Holy creativity, Batman!

Maybe kids don't grow up dreaming of becoming financial superheroes, but that doesn't mean they can't start

By Jeff Benjamin
INDEPENDENT BROKER DEALERS FEB 06, 2011
Can LPL hit its recruitment target - and at what cost?

Mark Casady, chief executive of LPL Investment Holdings Inc., has reiterated aggressive growth targets for the country's largest independent broker-dealer

By Andrew Osterland
RIA NEWS FEB 06, 2011
Gabelli's picks up 216% in five years - what are favorites now?

Recommendations from Mario J. Gabelli's brokerage firm are trouncing returns in the U.S. stock market as analysts at the biggest securities firms struggle to prove their worth.

By Bloomberg
Gabelli's picks up 216% in five years — so what's he touting now?
RIA NEWS FEB 04, 2011
Gabelli's picks up 216% in five years — so what's he touting now?

Famed investor trouncing fund managers, S&P 500 with quarterly 'Focus Five' list

By John Goff
Life Partners' pitch change is a curveball for investors, attorneys say
LIFE INSURANCE AND ANNUITIES FEB 04, 2011
Life Partners' pitch change is a curveball for investors, attorneys say

Settlement provider lowers advertised rate of return from 12% to 7%; litigation ahead?

By Darla Mercado
Will legal maneuver bail out B-Ds sued over private placements?
RIA NEWS FEB 04, 2011
Will legal maneuver bail out B-Ds sued over private placements?

Capital Financial wants to merge cases as part of a class action settlement; other brokerages said to be monitoring judge's decision

By Bruce Kelly
LIFE INSURANCE AND ANNUITIES FEB 04, 2011
New York Life, MassMutual sued over Madoff investments

A machinery manufacturer last week sued New York Life Insurance Co., claiming it had lost money in variable universal life policies that were invested in funds linked to the Madoff scandal. Experts say similar suits are likely to follow.

By Darla Mercado
EQUITIES FEB 04, 2011
Consumer electronics: Now a holiday staple?

From Black Friday door-buster specials on flat-panel TVs to stocking stuffers like MP3 players and e-book readers, shopping for electronics has become as synonymous with the holiday shopping season as decorating Christmas trees

By Standard and Poor's
FINTECH FEB 04, 2011
JPMorgan gives bankers iPads

JPMorgan Chase & Co. will give its investment bankers iPads to provide an additional mobile tool as Apple Inc. expands its domain to Wall Street, threatening Research in Motion Ltd. in a market it traditionally dominated.

By Bloomberg
How does he do it? Bill Gross only bear fund manager to top S&P 500
RIA NEWS FEB 03, 2011
How does he do it? Bill Gross only bear fund manager to top S&P 500

Bill Gross continues to impress. According to Morningstar, Pimco's short strategy fund, managed by Mr. Gross, was the only bear fund to beat the S&P 500 over the past decade.

By John Goff
ING hid kickbacks from fund firms in 12(b)-1 fees: Suit
RETIREMENT PLANNING FEB 03, 2011
ING hid kickbacks from fund firms in 12(b)-1 fees: Suit

Retirement plan administrator says insurance group ran a pay-to-be-on-the-platform scheme

By Darla Mercado
Paging William Jennings Bryan: Silver the new gold
RIA NEWS FEB 03, 2011
Paging William Jennings Bryan: Silver the new gold

Analysts see larger rise in price of silver, as industries find new uses for the precious metal

By John Goff
RIA NEWS FEB 03, 2011
TD exec: User fees likely to fund RIA oversight

'One thing Congress isn't going to do is give the SEC a bunch more money,' says Schweiss

By Dan Jamieson
DOL pension proposal could rock fund firms
RETIREMENT PLANNING FEB 03, 2011
DOL pension proposal could rock fund firms

Expanded definition of 'fiduciary' likely to hamstring funds that work with plan sponsors and participants.

By Darla Mercado
PRACTICE MANAGEMENT FEB 03, 2011
Q&A: Two questions for NASAA president David Massey on adviser regulation

NASAA president David Massey sits down with <i>InvestmentNews</i> reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy &quot;more intelligent regulation&quot; as they take on the oversight of all investment advisers under $100 million. <a href=http://assets.investmentnews.com/Bruno/massey_final.mp3>(Click here to listen.)</a>

By Mark Bruno
RETIREMENT PLANNING FEB 03, 2011
Advisers and the next generation(s)

In my ongoing effort to keep advisers abreast of ways to engage the next generation, I came across an entertaining website for you to share with parents or grandparents who can in turn share with their young ones.

By Davis Janowski
RETIREMENT PLANNING FEB 03, 2011
Insurer spreads fiduciary umbrella to keep small plans

New York Life Insurance Co. has kicked off a program that will allow agents to meet the tougher fiduciary requirements set by the Labor Department

By Darla Mercado