- SEC Will Review Facebook Trade Reporting Problems at Nasdaq May 18, 2012
- Advisers telling clients to avoid 'most hyped IPO in history' May 18, 2012Say Facebook shares are vastly overpriced; 'a marketing textbook'
- Chart of the day: Where Facebook's market cap falls in the top 25 May 18, 2012
- 10 reasons clients shouldn't buy Facebook May 18, 2012
- 'Guy in the hoodie' raises $16B in second biggest IPO ever May 18, 2012FaceBook offering values company north of $100 billion; stock starts trading today at $38
- Hardy har VAR: How JPMorgan is like Enron May 18, 2012Value-at-risk measurement proved to be way off for both companies
- Ex-NAPFA chairman diverted nearly $50M from clients: DOJ May 17, 2012Justice department says Spangler used the cash to secretly invest in tech companies he owned
- Schwab taps Tamarac as next integration partner May 17, 2012
- It's a beautiful day: Facebook IPO makes Bono world's richest rock star May 17, 2012
- Another nontraded REIT to go public May 17, 2012
- Finra checks off more boxes with improved BrokerCheck May 17, 2012Additional features aimed at boosting ease of use, robustness of adviser database
- Remember the titans: Forgotten facts about the great brokerage barons May 17, 2012
- Around the web: What people are saying about the Facebook IPO May 17, 2012
- Alternatives funds finally catching on and#8212; but are they the wrong ones? May 17, 2012Fund companies are increasingly cranking out mutual funds that invest in alternatives. But the most popular product may offer scant protection against down markets
- SEC to name new watchdog amid allegations about old watchdog: Sources May 17, 2012FDIC inspector general Jon Rymer is said to be in final discussions to temporarily take over the SEC's internal watchdog office; allegations of conflicts of interest
- Gundlach: Steer clear of these bonds May 17, 2012Fund manager warns about risks of short-term, investment-grade debt; 'no yield'
- LPL taps new human capital officer May 17, 2012
- Schwab to close brokersXpress May 16, 2012Charles Schwab is shutting down brokersXpress. The parent company broke the news to the B-D's 300 reps late Wednesday afternoon. Now, the brokers have 90 days to relocate.
- Advisers eighty-sixing 60/40 portfolio allocation: Survey May 16, 2012Traditional investment strategy seen as old school; value of buy-and-hold also questioned
- Want a smaller tax bite in retirement? It all depends on where you take income from May 16, 2012
- Capital cushions would gut money fund profits: ICI May 16, 2012Survey is the latest in institute's attacks on SEC's proposed reforms
- LPL's 401(k) rollover program could boost LPL's rollover capture May 16, 2012New service helps separating workers open IRAs, matches employees with LPL retail advisers
- United Capital dialed in to different type of asset with Pomeranz buy May 16, 2012Rollup firm acquires much smaller outfit — but lands popular radio show in the process
- George Soros bets big on gold and#8212; but advisers have a smarter play May 16, 2012Billionaire buying up shares in SPDR Gold Trust; iShares' version cheaper, though
- Fiduciary champion Hutcheson hit with more charges May 16, 2012Latest suit claims he violated ERISA in alleged $3.2 million theft from retirement plans
- As Warren Buffett goes, so goes GM May 16, 2012Berkshire's investment in automaker an immediate boost to share price; market signal 'unprecedented'
- Vanguard not only out front but now lapping the competition May 15, 2012Stock picking vs. indexing? Advisers may tout the virtues of active management, but investors are voting with their feet. And based on net inflows at Vanguard this year, this race isn't even close.
- U.S. drifting toward lost decade, warns Krugman May 15, 2012Interest rates to remain low for a very long time, predicts nobel laureate; 'we're all looking like Japan'
- How does JPMorgan's fiasco stack up to other infamous trading blunders? May 15, 2012
- Taking stock of bullion: Rogers says monster correction for gold possible May 15, 2012Commodities expert sees India and Europe as the catalysts for possible 50% drop in price of metal
- DOJ, FBI commence criminal probe of JPMorgan's $2B gaffe: Report May 15, 2012SEC, CFTC also said to be investigating bank's big blunder
- Star adviser Evensky on board with retirement specialist designation May 15, 2012Joins Board of Governance of RIIA's retirement income designation program
- College the next housing meltdown: Mark Cuban May 15, 2012Billionaire says borrowing money to pay for school 'the equivalent of flipping houses'
- Major matters: Not all college degrees created equal May 15, 2012Hiring of graduated on the uptick, but certain majors much more in demand; avoid communications
- Jefferson National latest to add more alternatives to VA May 14, 2012Jefferson National Life Insurance Co. has bolstered its roster of alternative-investment offerings
- Translating Medicare-ese for financial advisers May 14, 2012Another new tool helps advisers guide their clients through the ever-important Medicare decisions
- U.S. workers short on long-term disability coverageand#8232; May 14, 2012Despite employers' cutting back on benefits, few employees purchasing policies on their own
- What Kenneth Heebner is buying and selling now May 14, 2012Star manager stocks up on Whirlpool, Cummins, unloads Ford
- Pimco's Total Return ETF even better than the real thing May 14, 2012Bill Gross Lite outstripping flagship Total Return mutual fund by almost 300 basis points
- Shift on, as alt investments enter the mainstream May 14, 2012Remarkable growth in product offerings; 20% allocation coming, predicts research firm
- SEC tires of shell game, halts trading in 379 micro-caps May 14, 2012Commission targets shell companin in bid to curb pump-and-dump schemes
- Young workers on 401(k) offerings: We want sure things May 14, 2012Gun-shy employees keen on investments that provide guaranteed income; little interest in diversification
- FDIC laces into ex-NFL star quarterback in suit May 14, 2012Accuse Bears' legend Jim McMahon of 'gross negligence' as director of Broadway Bank
- California dreaming, as state's budget gap swells beyond forecast May 14, 2012Deficit swells to $16B; governor targets the wealthy with hiked tax
- JPMorgan blunder puts Mitt Romney in tough spot May 14, 2012Another black eye for Wall Street, but GOP Presidential candidate has called for repeal of Dodd-Frank
- Investment firm boss a one-man band in bashing Obama May 14, 2012Chairman of Lexington Management sole manager of super PAC; anti-President ads aired in swing states
- Judge tosses Schwab suit against Finra May 14, 2012
- Lobbyists redouble efforts as SRO bill heads to vote May 13, 2012
- The basics behind the social-media button May 13, 2012
- Fed loans best option, even at twice the price May 13, 2012
- VA surrenders jumped after Hartford bowed out May 13, 2012After The Hartford Financial Services Group Inc. announced that it was getting out of the variable annuity business, surrender rates for existing contracts jumped sharply and#8212; a sign that registered representatives might be churning their customers' accounts.
- Market's hot streak turns cool on European woes, JPM loss May 13, 2012JPMorgan Chase and Co.'s disclosure last week that it had sustained $2 billion in trading losses is one more worry for investors who have watched the stock market retreat after one of the best first quarters on record.
- Bank's $2B bad bet boosts Volcker rule May 13, 2012Political oddsmakers are working overtime to assess the chances of stronger bank regulation in the wake of JPMorgan Chase and Co.'s announcement last week of a $2 billion loss on a bad derivatives bet.
- SEC probes giant private REIT May 13, 2012The Securities and Exchange Commissionand#39;s probe into Inland American Real Estate Trust Inc., the largest nontraded real estate investment trust in the industry, is another cause for concern for the $84 billion private REIT business, which has recently seen some REITs struggle with valuations.
- Advisers are urged to fight against SRO proposal May 13, 2012It was fitting that the National Association of Personal Financial Advisors' annual conference in Chicago opened Tuesday to the sound of bagpipes, because the 500 or so financial advisers attending are eager to take on some big battles.
- Lobbyists redouble efforts as SRO bill heads to vote May 13, 2012Advocates and opponents of legislation that would shift oversight of investment advisers from the Securities and Exchange Commission to a separate industry-run regulator are redoubling their lobbying efforts as the bill heads to a potential House committee vote next month.
- Fed loans best option, even at twice the price May 13, 2012Although the 3.4% federal student loan rate will double if Congress doesn't act soon, financial advisers still argue that government loans are a better choice than most other debt options for financing a college education.
- Advisers disagree with Kitces' take May 13, 2012A technology-centric advice business that could leave traditional planners and#8220;in the dustand#8221; and#8212;
- Schapiro stands defiant on money market reform May 13, 2012Securities and Exchange Commission Chairman Mary Schapiro is not backing down from her stance that the money market fund industry needs additional reform.
- Star adviser parts ways with DeWaay, joins LPL May 13, 2012An independent broker-dealer struggling with the fallout from soured real estate investments lost a star broker last week to the industryand#39;s behemoth, LPL Financial LLC.
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