Displaying 5 results
Future for RIAs bright and challenging
United Capital's Matt Brinker talks about the outlook for independent financial advisory firms.
What to expect on the regulatory front in 2018
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
Fidelity’s Scott Slater says PE shops will increase their pursuit of RIAs
Advisory firms should consider both the advantages of deeper pockets and the drawbacks of less freedom.
Why health care stocks are still undervalued: Podcast
Uri Landesman, head of global growth at ING Investment Management Americas, talks about the immediate and longer-term impact of health care reform on health care sector stocks.
Morgan Stanley hit with fraud arb claim over $21M in investment losses
The city of Burlington, Vt., filed an arbitration claim against Morgan Stanley with the Financial Industry Regulatory Authority, alleging breaches of fiduciary duty and fraud by that company's investment consulting division that resulted in damages of more than $21 million for the $118 million Burlington Employees' Retirement System.
