by
Dorothy Hinchcliff
Green Century Capital Management and others want more information from
natural gas companies on a controversial means that they are using to
drill new wells.
The top federal futures regulator wants to implement the so-called "Eddie Murphy" rule as part of new ethical standards for commodities trading.
Independent advisory firms are winning new employees from Wall Street wirehouses: experienced brokers who like the RIA model but don't want to run a business.
Good, but not enough. That's how academics and
advisors characterize President Barack Obama's plans to help Americans
save more for retirement.
by
Dorothy Hinchcliff
Securities America is denying charges in a complaint filed by the
Massachusetts Securities Division that says it misled investors when it
sold millions in private placement securities.
A divided SEC has voted to
encourage companies to disclose the effects of climate change on their
business, bringing a partisan debate over global warming into a new
arena.
by
Karen DeMasters
A new study describes how top advisors keep and attract high-net-worth clients.
Helping Americans increase their financial literacy can be good for the country-and a financial advisor's business.
by
Ray Fazzi
Charles Goldman, who joined Fidelity about a year ago after leaving
arch rival Schwab Institutional, is leaving the company at the end
of March, according to a company spokesman.
by
Ray Fazzi
Two new surveys indicate American workers are feeling less secure about the course of their retirements.
Colleges aren't waiting for the U.S. Congress or the banks, and are instead becoming direct lenders to students to ensure loans are available this fall.
It may seem like a win for U.S. taxpayers, but a new Swiss court
ruling in the UBS AG tax evasion case is not likely to help those
who hid money in Swiss bank accounts.
by
Ray Fazzi
People who give to charities providing earthquake relief in Haiti can
claim the donations this year under recently adopted tax provisions,
according to the Internal Revenue Service.
by
Eric Rasmussen, Dorothy Hinchcliff
The Massachusetts Securities Division filed a complaint today against
Securities America, charging the broker-dealer misled investors when it sold approximately $697 million in promissory notes.
Independent broker-dealer LPL Financial has given Derek Bruton
oversight of its hybrid brokerage-registered investment advisor platform.
New media is spurring new guidelines for brokerage firms and their employees.
Advisors at Morgan Stanley Smith Barney offered retention packages to 6,500 brokers, and those who were eligible are now getting paid.
by
Jeff Schlegel
Regulators can seem like scary people, but financial advisors who take
time to reach out to their state regulators could have an ally down the
road in times of need.
Wells Fargo & Co. is throwing its legacy Wachovia Securities
advisors for a loop, with payroll changes that went into effect this
month.
Roth conversions can trigger unintended tax traps and financial problems that are not being addressed in the mounds of 2010 Roth conversion information.
