Mortified? Ex-wife of Guggenheim Partners exec headlines reality show
Guggenheim Partner's Topper Mortimer's ex-wife -- the high priestess of NYC's high society -- gets her own show just months after getting a divorce from the money manager.
Investors getting harder to wow
After the rally of 2009, uncovering undervalued stocks got a lot harder. And lately, even upbeat economic news has failed to boost the market. No wonder investors are having a dickens of a time finding reasons to buy.
<b>Special report:</b> B-Ds hit where it hurts
The indie B-D industry took a giant step backward last year, with the largest 25 firms collectively reporting a 10.3% drop in gross revenue. View the exclusive IN special report
Finra, SEC and state regulators swarm Morgan Keegan with fraud charges
A swarm of state and federal regulators made a bee line for Morgan Keegan on Wednesday. The reason? Alleged wrong-doing in the sales and marketing of mortgage-backed bond funds
Latest mutual fund frenzy? Interest-rate hedges
Retail investors are flocking to new funds from BlackRock, Goldman Sachs and others that offer some protection against rising rates.
Recruiting flurry at LPL eases up — for now
The number of net new reps and advisers at the B-D declined considerably during the first quarter. Still, the company's CFO says the swing to independent advice is a 'longer-term trend'
Goldman Sachs suit may prompt wider probe, greater regulation
The SEC's fraud suit against Goldman Sachs could trigger additional probes of collateralized debt obligations and lead to stricter regulation of the financial services industry
Lock ‘n’ load: Taking target funds tactical
A handful of big fund companies are revamping their target date offerings in hopes of limiting risk — and preventing another major blowup.
SEC’s ‘pit bull’ lead lawyer in Goldman case toppled Crazy Eddie
Sam Antar describes commission attorney Richard Simpson as 'an unbelievably tough guy.' Antar should know: he was CFO of Crazy Eddie, the crooked retailer that Simpson helped topple in the Eighties
UBS to retail clients: Stocks past the sweet spot
It's been a swell ride for stock investors over the past three months. But UBS strategists say the rally is running out of steam. Their suggestions? Read on
White-hot investor? Uncle Sam
So far, the unwinding of the government's stakes in once-distressed banks has paid off handsomely for the U.S. taxpayer. The profit on the planned sale of Citi stock should be the topper.
Securities America slams Massachusetts over private-placement suit
The broker-dealer has fired back at a state regulator with some stinging accusations of ignorance.
UBS exec: Adviser morale helped sparked earnings turnaround
In the first quarter of 2009, UBS lost nearly $2 billion. In the first quarter of 2010, UBS earned $2 billion. CFO John Cryan says improving adviser morale helped spark the turnaround.
Can Goldman survive this scandal?
No Wall Street firm dominates forever -- just ask the former employees at Drexel Burnham Lambert
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
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
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.
Advisers driving for growth on the golf course
When adviser E. Kim Dignum invites clients or prospects out to play the hilly, meandering course at Mira Vista Country Club in Fort Worth, Texas, she obeys her one unspoken rule of golf etiquette: Play to win.
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.
Schwab reverses course on alternatives
The firm says it will once again accept the assets in its custody unit
