Financial Advisor Sub-categories

Financial Advisor

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Brokerage Firms Accused Of False Advertising

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A lawyers' association says brokerage firms are misleading consumers by implying they have a fiduciary obligation to clients.

Government’s Heavy Hand Will Harm Crowdfunding, SEC Member Says

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The promise of crowdfunding has been stifled by red tape imposed by Congress, says Commissioner Daniel Gallagher.

Blackstone To Market First Multiborrower Rental-Home Bonds

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The bonds to be backed by properties owned by multiple landlords could may make more money available to housing investors as demand for rentals grows.

Europe’s QE Prompts Bubble Fears As Economy Picks Up

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Investors have started to fear the ECB's asset-purchase scheme may be inflating a dangerous bubble.

Ameriprise Pays $27.5M to Settle 401(k) Case

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The lawsuit was brought by Ameriprise employees under the Employee Retirement Income Security Act of 1974.

Royal Alliance Acquires Affiliated Advisors Group

by FA Staff

Affiliated Advisors Group is a full service broker-dealer with 33 advisors that manages approximately $600 million in assets.

The Value Of Debt In Retirement

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Used wisely, debt can be your friend, explains author and portfolio manager Thomas J. Anderson.

Lack Of Retirement Knowledge Leads To Stress

by FA Staff

Retirement no longer means not working, but a knowledge of retirement plans is necessary to prevent stress.

Oppenheimer To Pay Fine For Lax Supervision Of Broadway Scam Broker

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Wall Street's watchdog fined Oppenheimer & Co $3.75 million for failing to supervise a former broker now serving a prison sentence for defrauding producers of "Rebecca -- The Musical."

BlackRock, Morningstar and Ric Edelman Team Up For New ETF

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Edelman devised the idea, Morningstar created the index and BlackRock provided the backing for the iShares Exponential Technologies ETF.

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