Foundation Source Expands Philanthropic Services
Foundation Source, a provider of support services for private foundations based in Fairfield, Conn...
by
Dorothy Hinchcliff
Many people in financial services sales positions last year saw compensation declines ranging from about 10% to more than 30% because of the poor stock market.
by
Dorothy Hinchcliff
Three leading advisors from Morgan Stanley Smith Barney have
gone independent and formed Three Bridge Wealth Advisors.
by
Ray Fazzi
Independent broker-dealer Securities America has added
USAdvisors Network LLC of Eden Prairie, Minn, to its network of branch offices.
by
Ray Fazzi
New York State Attorney General Andrew Cuomo has sued Charles Schwab & Co., alleging the company
failed to disclose the risks of auction-rate securities to its clients.
by
Jeff Schlegel
The Financial Industry Regulatory Authority (FINRA) today said it
barred an Ohio broker from the securities industry for misappropriating
a $90,000 inheritance from two sisters.
by
Dorothy Hinchcliff
A federal judge sentenced 71-year-old former planner Judith Zabalaoui
to 97 months in prison for using a Ponzi scheme to embezzle millions
from clients.
by
Dorothy Hinchcliff
A group of leading financial advisors has met with Washington officials
and let them know that fiduciary principles should apply to all those
giving investment advice.
by
Dorothy Hinchcliff
Bank of America has agreed to pay $33 million to settle SEC charges that it misled investors
about $5 billion in bonuses that were being paid to Merrill Lynch executives when the bank bought it.
by Andrew Gluck
Seven ideas to help you with day-to-day activities.
by
Ray Fazzi
Alexandra Armstrong, an early pioneer of the financial planning
movement, has affiliated with
Commonwealth Financial Network.
by
Eric Rasmussen
RIA or IAR? The anagram you choose will depend on how big you are and how independent you want to be.
by
Dorothy Hinchcliff
The SEC is proposing new rules aimed at
stopping "pay to play" practices by investment advisors who seek to
manage money for government pension and 529 plans.
by
Dorothy Hinchcliff
FINRA has fined five bank
broker-dealers a total of $1.65 million for deficient supervision and
procedures involving variable annuity, mutual fund or unit
investment trust transactions.
by
Dorothy Hinchcliff
Asset manager Neuberger Berman Group LLC has agreed to acquire Lehman Brothers trust businesses.
by
Dorothy Hinchcliff
Morgan Stanley and TD Ameritrade were among the companies recently
cited in enforcement actions by the U.S. Securities and Exchange
Commission.
by
Dorothy Hinchcliff
Edward Jones ranked highest in investor satisfaction among full-service
investment firms, according to an annual survey released Tuesday by
J.D. Power and Associates.
by
Dorothy Hinchcliff
Although most advisors have clients who suffer from Alzheimer's
Disease, virtually none feels fully prepared to assist such clients,
according to a new Fidelity Investments survey.
by
Dorothy Hinchcliff
Charles Schwab & Co. Inc. says allegations by New York Attorney
General Andrew Cuomo that its brokers improperly sold and marketed
auction-rate securities are without merit and are unfair.
by
Ray Fazzi
Ameriprise Financial has settled charges
that it received millions of dollars in undisclosed incentive payments
to sell certain REITs to its brokerage customers, according to the SEC.
