Financial Advisor

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Financial Advisors' Eyes On Washington

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While financial advisors appear confident that the government will avert a headlong plummet off the “fiscal cliff,” they’re less certain about the outcome of other key legislative issues next...

Finra Charges Head Of Brooklyn Brokerage With Investor Fraud

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Finra has charged the president and owner of a Brooklyn, N.Y., brokerage firm catering to the Polish community with defrauding customers of more than $4 million.

RIA Uses Sophisticated Risk Strategy

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Enterprise risk management relies on sector rotation and volatility indexes to protect against catastrophic events.

An Equity Comeback? Managers Weigh In

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The long march out of equity funds by investors may be slowing, and could switch directions after year's end, say some mutual fund managers.

United Capital Opens Training and Marketing Center

United Capital Financial Advisors LLC, a national private wealth counseling firm, is opening a national training and marketing center in Dallas for its advisors nationwide.

Harvard Doctor Turned Morgan Stanley Felon Was Lured By Riches

A doctor who quit medicine to run high-flying health-care investment funds once owned by Morgan Stanley now sits in federal prison. Losing his mother may have played a role in his downfall.

LPL Financial Adds Electronic Document Signing For Advisors, Clients

LPL Financial has added technology that will speed up document processing.

'Embracing The Hated' Takes Fund To Top

Bruce Berkowitz’s Fairholme Fund is poised to post its best year in a decade, led by the rebound of financial firms that fueled what he called a "horrible" 2011.

Charitable Giving Skyrockets

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Charitable giving through donor-advised funds at Schwab Charitable is well on its way to doubling compared to last year due in part to possible changes in tax laws, according to Schwab.

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