by
Jeff Schlegel
Susan Merrill, FINRA's former head of enforcement, has landed a new job as a partner at the New
York office of the law firm Bingham McCutchen LLP.
One group of billionaires and millionaires is pushing for an end to Bush-era tax cuts.
Some industry experts say it would be profitable for the big brokerages to delve
into the breakaway movement.
Spring has sprung, and with it have come new announcements from
custodians eager to describe the ways they can help financial advisors
flourish.
Legislation to reform the financial system not
only proposes regulatory changes, but also asks for lots of studies by the SEC.
Baby boomers, the generation expected to overwhelm Social Security, may be the workers to save it.
by
Dorothy Hinchcliff
For the first time, the CFP Board of Standards is posting sensitive
information online about actual misconduct cases that have come before
it for the public and financial advisors to see.
In doing Roth IRA conversions, many individuals and advisors are making some astonishing mistakes that experts say could be
avoided easily.
Securities regulators' actions against Morgan Keegan & Co. put its
brokers in the same basic category as investors: duped.
Technology has been blamed for reducing human interaction--why call
when you can text? But financial advisers say it helps them keep in
closer touch with clients.
Less than one-third of pre-retirees plan to leave their primary occupations at age 65, a new survey says. In fact, many pre-retirees don't think retirement, or retirement planning, applies to them.
The Solar Impulse aircraft, a pioneering Swiss bid to fly around the
world on solar energy, successfully completed its first test flight in
western Switzerland Wednesday.
Some directors manage to stay on corporate boards with barely any shareholder support. This proxy season, investors are pushing companies to enact "majority-vote" standards.
A case against Ameriprise Financial Inc. over allegedly excessive
mutual-fund fees is being sent back to a federal appeals court by the
U.S...
Regulators are stepping up efforts to police target-date funds. Meanwhile, providers from Schwab to Fidelity to Wells Fargo are tinkering with their offerings.
by Tomi Kilgore
The 11000 level for the Dow Jones Industrial Average is every bit as significant as Dow 10000 was, if not more.
The best advisors aren't just beating their peers. The numbers show them
practically pounding them into the ground.
by
Dorothy Hinchcliff
LPL Financial has recognized a California man as the advisor who has been affiliated with the firm longer than any other.
Pitcairn is a multi-family office that prides itself on putting hurdles in the
career paths of family members who want in to the company.
Investors may be calmer now than they were a year ago, but many got
used to the extra hand-holding their advisors provided in the financial
crisis. And they don't want it to stop.
