RIA News

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RETIREMENT PLANNING APR 23, 2010
IN special: 10 best bank and brokerage commercials

A pleasure cruise down memory lane, with some of the best spots ever seen on TV. Join the fun -- and tell us your favorite

By Mark Bruno
RIA NEWS APR 23, 2010
Looking back

Thomas James readily admits that his impending departure from Raymond James Financial Inc., whose roots go back to a firm founded by his father in 1962, is bittersweet.

By Bruce Kelly
Can Goldman survive this scandal?
RIA NEWS APR 23, 2010
Can Goldman survive this scandal?

No Wall Street firm dominates forever -- just ask the former employees at Drexel Burnham Lambert

By Greg David
WIREHOUSES APR 23, 2010
Ben Stein: Investors' biggest mistake was trusting Wall St.

Good sense has vanished from many areas of American life including how families manage their money, says economist and television commentator Ben Stein.

By Bloomberg
Wine investors' spirits pick up as index hits new high
RETIREMENT PLANNING APR 23, 2010
Wine investors' spirits pick up as index hits new high

Chardonnay-sayers proved wrong, as fine wine index hits new high after tanking in 2008

By Bloomberg
RIA NEWS APR 23, 2010
Market undervalued? More money managers see it that way

Nearly 30% of investment pros describe equities as undervalued in the latest quarterly survey by Russell Investments

By Bloomberg
PRACTICE MANAGEMENT APR 23, 2010
Do Firms Sue When They Are Afraid to Compete?

How can an Advisor or a Firm "own" someone else's money?

By Danny Sarch
WIREHOUSES APR 23, 2010
Recruiting protocol carve out by Merrill Lynch raises questions

Merrill Lynch is carving out some of its private banking units from the broker recruiting protocol.

By Dan Jamieson
RIA NEWS APR 23, 2010
Newly formed MSSB signs recruitment protocol

New York-based MSSB became an official signatory to the pact yesterday when Morgan Stanley and Citigroup Inc.’s Smith Barney brokerage unit closed on their joint venture.

By Dan Jamieson
Not quite Federer, but this stock analyst's got game
RIA NEWS APR 22, 2010
Not quite Federer, but this stock analyst's got game

He's not quite Roger Federer. But Jonathan Pastel, a 34-year-old equity analyst at Sanford C. Bernstein, still competes in ATP events. His practice partner? John McEnroe

By Bloomberg
Moneyball: Perfect games offer crucial lesson for investors
RIA NEWS APR 22, 2010
Moneyball: Perfect games offer crucial lesson for investors

Halladay. Braden. Galarraga. The recent spate of perfect (and near-perfect) games may be more than coincidence -- a fact that should have investors rethinking their views on how the market works. A stretch? Hardly.

By Roger Lowenstein, Bloomberg News
RIA NEWS APR 22, 2010
Obama urges finance industry to end regulation fight

President Barack Obama is taking his argument for stronger oversight of the financial industry to the place where the economic meltdown began.

By Mark Bruno
WIREHOUSES APR 22, 2010
Blog: 'Garden leave' policies are absurd

In the old days (pre 2004), firms would sue each other when an Advisor went from one firm to the other. “We own the book!” they cried (as if any firm or individual could somehow “own” someone else's money).

By Mark Bruno
RIA NEWS APR 22, 2010
Schwab reverses course on alternatives

The firm says it will once again accept the assets in its custody unit

By Dan Jamieson
RIA NEWS APR 22, 2010
Fuld: 'No recollection whatsoever' of Lehman's accounting gimmick

One-time CEO of one-time firm says he can't recall Repo 150; Fed apparently unaware as well

By Associated Press
Should clients use immediate annuities in retirement?
RETIREMENT PLANNING APR 22, 2010
Should clients use immediate annuities in retirement?

Take a look at a simple example and see under what circumstances an immediate annuity might be appealing.

By Charlie Farrell
Merrill brokerage force down from a year ago — but assets have risen
RIA NEWS APR 22, 2010
Merrill brokerage force down from a year ago — but assets have risen

The number of new $250,000-plus accounts jumped in the first quarter of the year

By Jed Horowitz
Jailed UBS whistle-blower seeks clemency
RIA NEWS APR 22, 2010
Jailed UBS whistle-blower seeks clemency

An imprisoned ex-Swiss banker credited with exposing widespread tax evasion at Swiss bank UBS AG is seeking clemency from President Barack Obama, his attorneys said Wednesday.

By Associated Press
UBS posts largest quarterly profit in almost 3 years, as client outflows slow
RIA NEWS APR 22, 2010
UBS posts largest quarterly profit in almost 3 years, as client outflows slow

With asset withdrawals waning, the Swiss bank booked its largest quarterly profit in almost three years

By Bloomberg
Peter Schiff: The Fed is inflating the 'biggest bubble of them all'
REGULATION, LEGAL & COMPLIANCE APR 22, 2010
Peter Schiff: The Fed is inflating the 'biggest bubble of them all'

During the 1990s, inflationary Federal Reserve policy fueled a tech stock bubble. When that bubble burst, the Fed inflated a larger one in real estate. Now that the real estate bubble has burst, the Fed is inflating the biggest bubble of them all -- a government bubble.

By Bloomberg