RIA News

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Wall Street workers expect bonuses to shrink
RIA NEWS SEP 23, 2011
Wall Street workers expect bonuses to shrink

More Wall Street finance professionals expect bonuses to fall than rise over the next three years, according to an eFinancialCareers.com survey.

By Mark Bruno
RIA NEWS SEP 23, 2011
Focus Financial fills another hole, buys niche RIA

Fifth deal for form this year

By Andrew Osterland
Investors on Buffett rule: Go ahead, soak the rich
RETIREMENT PLANNING SEP 23, 2011
Investors on Buffett rule: Go ahead, soak the rich

A new poll shows that financial services insiders overwhelmingly support the Buffett Rule, which would require the wealthy to pay at least the same tax rate as middle-class earners | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20110923&amp;Category=FREE&amp;ArtNo=923009997&amp;Ref=PH>What advisers need to know about Bam's tax plan</a>

By Bloomberg
RIA NEWS SEP 23, 2011
Bigger in Texas? Dallas RIA ties up with Oklahoma firm

EFG and Burns Advisory merge; 'scale in this business is key'

By Andrew Osterland
RETIREMENT PLANNING SEP 23, 2011
Whitney's flood of muni defaults more like a drip

By John Goff
New group to go to bat for retirement plan advisers
RETIREMENT PLANNING SEP 23, 2011
New group to go to bat for retirement plan advisers

Among other things, NAPA to fight to keep tax breaks for retirement savings

By Mark Schoeff Jr.
Bet on Bernanke producing 'monster' gains
RETIREMENT PLANNING SEP 23, 2011
Bet on Bernanke producing 'monster' gains

Ten-year Treasuries up 28% this year as fed head has managed to keep consumer prices in check

By John Goff
Moody's cuts ratings of BofA, Wells
RIA NEWS SEP 23, 2011
Moody's cuts ratings of BofA, Wells

Says banks probably no longer too big too fail; also lowers short-term rating on Citi

By John Goff
RETIREMENT PLANNING SEP 23, 2011
Market skid may prompt Roth IRA 'do-overs'

Oct. 17 may not be known officially as Mulligan Day, but affluent investors who converted their conventional IRA to a Roth last year may want to consider a &#8220;do-over&#8221; and re-characterize their account by the deadline date

By Lavonne Kuykendall
Ray of hope for solar stocks as Buffett buys in
RIA NEWS SEP 22, 2011
Ray of hope for solar stocks as Buffett buys in

$2B purchase of Topaz project could rekindle interest in sagging sector; tax credits an attraction

By John Goff
North America loaded with superwealthy — but Asia catching up
RETIREMENT PLANNING SEP 22, 2011
North America loaded with superwealthy — but Asia catching up

Three states still have more UHNW individuals than China and India combined; Asia should pass North America by in 2032

By John Goff
RETIREMENT PLANNING SEP 22, 2011
Regulators warn about self-directed IRAs

SEC, NASA say number of complaints on the rise; $94B in accounts

By Darla Mercado
Judge upholds ex-agent's misrepresentation claims in Allstate suit
LIFE INSURANCE AND ANNUITIES SEP 22, 2011
Judge upholds ex-agent's misrepresentation claims in Allstate suit

A federal judge agreed with a 28-year veteran agent that he was muscled out of his book of business by The Allstate Corp.

By Darla Mercado
MUTUAL FUNDS SEP 22, 2011
Determining winners, losers from Fed's next move

No matter what the Federal Reserve does to jump-start the stalled economy &#8212; and no matter what that effort is called &#8212; financial advisers should anticipate more downward pressure on interest rates

By Jeff Benjamin
Obama speech recognizes hurdles for first time: Pimco's El-Erian
FIXED INCOME SEP 22, 2011
Obama speech recognizes hurdles for first time: Pimco's El-Erian

Pacific Investment Management Co.'s Mohamed El-Erian said President Barack Obama is moving for the first time to &#8220;get ahead&#8221; of U.S. economic challenges because the Federal Reserve is unable to revive employment on its own.

By Doug Cubberley
MSRB floats tough new rules for advisers in the muni market
RETIREMENT PLANNING SEP 22, 2011
MSRB floats tough new rules for advisers in the muni market

Regulator aims to impose fiduciary standard, compensation limits in bid to eliminate conflicts of interest

By Liz Skinner
RIA NEWS SEP 22, 2011
Schwab franchise plan could be a hard sell

As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors

By Dan Jamieson
INDEPENDENT BROKER DEALERS SEP 22, 2011
Two reps could lose securities licenses for selling life settlement notes

A pair of registered representatives with Planmember Securities Corp. in Texas face the loss of their securities licenses and fines of $100,000 each for the improper sale of life settlement notes.

By Darla Mercado
Will silver rebound anytime soon? It's a toss of the coin
RIA NEWS SEP 21, 2011
Will silver rebound anytime soon? It's a toss of the coin

Some say rise in manufacturing will lift prices; others point to a glut of product

By John Goff
Dwindling trading volumes zapping B-Ds: IN's Kelly
PRACTICE MANAGEMENT SEP 21, 2011
Dwindling trading volumes zapping B-Ds: IN's Kelly

Harder to make transaction fees without transactions

By Bruce Kelly