RIA News

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In an apparent first, a public pension plan files for bankruptcy
RETIREMENT PLANNING APR 27, 2012
In an apparent first, a public pension plan files for bankruptcy

Northern Mariana Islands plan in deep trench, with $268M in assets, $911M in liabilities

By Darla Mercado
Forget student loans, pay for college by spying
RIA NEWS APR 27, 2012
Forget student loans, pay for college by spying

FBI says American universities rife with spooks; college kids being paid big bucks for information

By John Goff
WIREHOUSES APR 27, 2012
The Goldman Op-Ed furor: Who are the 'muppets'?

Greg Smith's parting shot at Goldman Sachs in a scathing New York Times Op- Ed piece yesterday has touched off a firestorm.

By Bloomberg
RIA NEWS APR 27, 2012
Goldman critic is 'toast' on Wall Street: Cohan

Author and former Investment banker says Greg Smith's scathing op-ed won't make him any friends down on Wall and Broad

By John Goff
RIA NEWS APR 27, 2012
Wells Fargo mulls branch closures

By Bloomberg
NFL's Kyle Orton sues Chicago law firm over investments
RIA NEWS APR 27, 2012
NFL's Kyle Orton sues Chicago law firm over investments

Claims big losses from partnerships that failed to provide anticipated tax benefits

By Doug Cubberley
INDEPENDENT BROKER DEALERS APR 26, 2012
Schwab opens newest independent branch

The Charles Schwab Corp. has opened its newest franchised branch office, this one in Windermere, Fla., near Orlando.

By DJAMIESON
Merged Dallas, OKC firms rename, to expand regional footprint
RIA NEWS APR 26, 2012
Merged Dallas, OKC firms rename, to expand regional footprint

Burns Advisory and Executive Financial are in final stages of integration after adopting a new name

By InvestmentNews
RIA NEWS APR 26, 2012
Greg Friedman answers five key questions about the RIA business

By Paul Menchaca
Legacy of Occupy Wall Street? Green funds see more green
RIA NEWS APR 26, 2012
Legacy of Occupy Wall Street? Green funds see more green

Environmentally responsible investing sees uptick in interest following protest movement; same thing for socially aware funds

By Jeff Benjamin
Ironclad deal: Savant hooks up with The Monitor Group in rare RIA merger
RIA NEWS APR 26, 2012
Ironclad deal: Savant hooks up with The Monitor Group in rare RIA merger

Tie up creates $2.5B firm; combined outfit vaults into top 50

By Bruce Kelly
EQUITIES APR 26, 2012
In the age of Apple and Google, Nasdaq looks beyond tech stocks

On the day Apple further flexed its earnings muscle, Nasdaq wanted to remind investors that it is more than just a benchmark for technology stocks.

By Paul Menchaca
INDEPENDENT BROKER DEALERS APR 26, 2012
Regulators turn up the heat on branch office oversight

By DJAMIESON
RIA NEWS APR 26, 2012
Why Ric Edelman is going private

Edelman Financial Group isn't big enough to develop the liquidity and attention of analysts needed for institutional investors to trade the stock, Edelman says.

By Dan Jamieson
Big deals back as RIA acquisitions surge
RIA NEWS APR 26, 2012
Big deals back as RIA acquisitions surge

Plenty of action, particularly on the breakaway front

By Lavonne Kuykendall
REGULATION AND LEGISLATION APR 26, 2012
Finra's risk survey ruffles B-D feathers

By DJAMIESON
Buffett's take on gold bugs State Street big
RIA NEWS APR 26, 2012
Buffett's take on gold bugs State Street big

Goolgasian says the Oracle missing the boat on bullion; 'can't fondle the cube'

By John Goff
Occupy Wall Street protester finds occupation on Wall Street — thanks to indie B-D
RIA NEWS APR 26, 2012
Occupy Wall Street protester finds occupation on Wall Street — thanks to indie B-D

John Thomas Financial spots, then hires unemployed Ph.D; 'ask me for my resume'

By Bruce Kelly
New stock index lets you invest in Occupy Wall Street
RIA NEWS APR 26, 2012
New stock index lets you invest in Occupy Wall Street

Limited to companies that have drawn the ire of protestors

By Jeff Benjamin
RIA NEWS APR 25, 2012
Pinnacle Partners expelled, president barred over alleged private placement fraud

A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements.

By DJAMIESON