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Legg Mason CEO Says Bond ‘Transition’ To Set Billions In Motion

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Legg Mason Inc.’s CEO said a “transition” of assets is under way in the bond industry, after the departure of Bill Gross from Pimco prompted investors to set billions of dollars in motion.

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American Realty Ex-CFO Forfeits $35 Million In Pay After Errors

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The former American Realty Capital Properties CFO, who resigned after the company found errors in its financial statements, is leaving behind a pay package worth $35 million.

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CNL Securities Names Four VPs To Expand RIA Channels

by FA Staff

Brandon Berry, William Cho, Michael Gatti and Holly Onachilla will oversee RIA relations in four regions across the United States.

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Independent Broker-Dealers Increased ETF Assets In Third Quarter

by FA Staff

Independent b-ds were the only financial advisory businesses to increase mutual fund and ETF assets under management in the third quarter despite the market downturn, says Broadridge Financial.

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How Financial Advisors Can Compete With The 'Robos'

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Advisors should remember that the current competitive threat is tiny, but can start to compete in a few ways.

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LPL Financial Shares Hurt On Uncertain Regulatory Outlook

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An early warning from LPL that unexpectedly high regulatory costs would hurt third-quarter earnings failed to placate investors on Thursday, as shares tumbled after the brokerage firm reported actual...

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SEC/Finra: Look Out Scamsters Peddling Stocks In Phony Shell Companies

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The SEC and Finra issued a joint alert for investors to watch out for scamsters peddling penny stocks of businesses that are companies in name only.

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How To Be Big

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Fidelity looks at how small firms become big -- without being drowned in overhead, partnership fights or the morass of tasks for which not every pro is suited.

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Obamacare Faces New Threat As U.S. Supreme Court Weighs Appeal

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The fate of President Barack Obama’s health-care law is again in the hands of the U.S. Supreme Court.

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McGee Named Top Advisor By Raymond James

by FA Staff

Judith McGee received the Top Women Financial Advisor Award from Raymond James Financial Services.

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