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Displaying 42951 results
EQUITIES AUG 11, 2013
Sweeping changes under way at DFA

By JKEPHART
RETIREMENT PLANNING AUG 11, 2013
ERISA lawyers: Professor's take on 401(k)s is bunk

Say plan sponsors should follow 'prudent process' to evaluate service providers.

By Darla Mercado
REGULATION AND LEGISLATION AUG 11, 2013
Finra sues ex-employee for sexual harassment

Examiner made "unwelcome romantic overtures' to colleague, harassed HR director, suit claims.

By Michael Shagrin
PRACTICE MANAGEMENT AUG 11, 2013
Suit alleges Ponzi scammed investors out of $300M

Money manager claimed 432% returns while S&P 500 sank.

By Michael Shagrin
ALTERNATIVES AUG 11, 2013
Real estate fixture Thompson defrauded investors: Finra

By Bruce Kelly
RIAS AUG 11, 2013
Custodians

By mlanche
Clearing firms
INDUSTRY NEWS AUG 11, 2013
Clearing firms

Clearing firms by number of clients.

By dcheruvil
EQUITIES AUG 09, 2013
The Takeaway: Are you in the secret wealth management cult?

By Joshua Brown
REGULATION AND LEGISLATION AUG 09, 2013
Keenan beats out two others for small-firm seat on Finra board

CEO of St. Bernard Financial tops president of Mutual Trust Co. of America, general counsel of Abel/Noser.

By DJAMIESON
RETIREMENT PLANNING AUG 09, 2013
Getting personal with Social Security-claiming strategies

Advising my brother's widow on when to claim survivor benefits.

By Mary Beth Franklin
RIAS AUG 09, 2013
UBS biggest wealth firm, study finds

By Bloomberg
PRACTICE MANAGEMENT AUG 09, 2013
UBS charging clients fees to create financial plans

By AOSTERLAND
INDUSTRY NEWS AUG 08, 2013
How well do you know your stockbroker?

A new study shows why it's too easy for brokers to clean their public records

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 08, 2013
Finra sues former employee for sexual harassment

Operations examiner made 'unwelcome romantic overtures' to colleague, suit claims.

By Michael Shagrin
FIXED INCOME AUG 08, 2013
Timing is everything: KKR's first fund falls flat

Private-equity giant KKR jumps into the closed-end market but rising rates skewer the fund's IPO amid 'chaos' in the market. But there may be a silver lining.

By JKEPHART
REGULATION AND LEGISLATION AUG 08, 2013
In split vote, SEC beefs up broker-dealer custody rules

Gallagher, Troy Paredes dissent, say new rules give agency too much latitude.

By Mark Schoeff Jr.
FIXED INCOME AUG 08, 2013
El-Erian says markets took tapering too far, calls Bernanke dovish

PIMCO's co-CIO says 10-year note rate could drop, economy 'fragile.'

By Gregory Crawford
RIAS AUG 08, 2013
Schwab shares pummeled after net income tumbles

Rise in expenses puts major dent in company's 2Q financials

By DJAMIESON
RIAS AUG 08, 2013
No surprise exams for most SEC advisers

GAO report shows scant oversight of commission's charges

By Mark Schoeff Jr.
ALTERNATIVES AUG 08, 2013
Wells Fargo agrees to pay $105M to end MedCap suit

Investor recovery pool for failed private placements balloons by $105 million. Bruce Kelly has the details.

By Bruce Kelly