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Topic

Mariner Wealth Advisors acquires $2 billion Patriot Wealth Management

The purchase, which will become effective at the start of 2019, is Mariner's first venture into Houston.

Topic

Tech sell-off becomes the roughest since 2011

Rising Nasdaq volatility reflects investors' skittishness about the sector.

Topic

Great change or gridlock? Under a bipartisan Congress, advisers will see change

Legislation to boost retirement savings might gain support.

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All eyes on stock buybacks

Corporate purchases may be the only factor capable of sustaining the equity market's rebound, analyst says

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UBS reaches last leg of two largest court battles

Swiss bank could face billions of dollars in fines from French and US authorities.

Topic

Are 401(k) advisers operating like Amazon?

The retailing juggernaut has used data to drive better decisions, and 401(k) advisers should follow suit

Topic

ETF investors hunker down in cash

Two ETFs that invest in Treasury bills drew a combined $1.5 billion last week.

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Shorts piled into stock ETFs reach fever pitch

Experts say rally of the last three days propelled by buyback of ETFs and stocks.

Topic
  • October 30, 2018

Finra fines LPL $2.75 million for reporting failures

The regulator cited wrong interpretations of Finra rules and flawed internal guidance as reasons for not making proper reports that would help safeguard investors.

Topic
  • News
  • October 30, 2018

Ameriprise Financial signs on $444 million team from FSC Securities

Dale Cebert, a former Morgan Stanley broker who won an arbitration case against the firm, heads the seven-person team in Florida.