Stock Brokers Bid for ETF Clients
By Staff WriterOnline brokers are bidding for a greater share of online customer trades. And in some cases, they're taking some very aggressive measures. During the first quarter,...
March 31, 2010
HighTower Adds Managing Director and COORIA firm bolsters West Coast operations and fills new home office position
March 29, 2010
There Is No Perfect Custodian, but . . .This past week I received a couple of phone calls from advisors who were seeking an unbiased opinion about my custodian, TradePMR. Although I've written...
March 24, 2010
Dodd Calls for Inquiry Into Collapse of Lehman BrothersCites examiner's report that found massive accounting manipulation
March 23, 2010
MetLife Study on Aging LGBT Boomers Shows Different Views on RetirementMany struggles alters LGBT group's retirement outlook over other Boomers
March 22, 2010
Great Expectations: Meeting Client ExpectationsI had my second audit in three years this week. During the audit, one of the examiners asked if I ever advertise. My response was,...
March 18, 2010
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi SchemeProvident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.
March 17, 2010
Time for a Transition (VII): RIA Starter KitA look at the major issues worth considering, before an advisor makes a move to independent RIA status.