Over the past three months, the macroeconomic backdrop has improved slightly with economic data moving from “bad” to “less bad” (but not yet “good”)
Equities took a break from their four-week run and consolidated gains last week, posting very slight losses
The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.
Securities America, Massachusetts regulator battle over who's at fault in Reg D fiasco
Montana's commissioner of securities and insurance has sued Securities America over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
Nagengast tapped to replace McWhorter; Massachusetts suing firm over sale of private placements
Companies are always grumbling about some rule or regulation.
A raft of smaller firms closed as shrinking capital and costly lawsuits took a devastating toll. 'Nothing has ever come close to the carnage that's occurred in our industry." says one longtime adviser.
Hard and fast “rules,” I have argued against them since entering this business some 40 years ago because in the stock market you have to be flexible.
Harvard may be hard as heck to get in to, but McDonald's Hamburger University accepts less than 1% of applicants; Hamburglar as study buddy?
Nimble investors could jump on some attractive acquisition candidates ahead of the unfolding 2011 takeover wave, according to the latest research from Morningstar Inc.
The 24-employee unit will continue to work out of seven different cities
Company commences coverage of the newly listed B-D with a 'sell' rating
First Allied Securities Inc., Janney Montgomery Scott LLC and Raymond James Financial Inc. are among a number of broker-dealers preparing for a spike in financial advisers' use of firm-sponsored, fee-based money management programs if brokers are to be held to a fiduciary standard of care.
Looking to diversify and raise cash to pay taxes, big-producing and long-tenured advisers affiliated with LPL dumped shares and cashed out during the company's initial public offering this month.
