<i>Breakfast with Benjamin:</i> The bull run is not over; neither is the spike in volatility. Plus: The upside of suddenly cheaper stocks, JPMorgan's big miss, mutual fund investors always get creamed, placing speed bumps in front of high-frequency traders and not having Kathleen Sebelius to kick around anymore.
Former LPL executive says taking time off to recharge.
CEO says majority of high net worth clients will move toward independent advisers
Some divorced spouses are clueless about Social Security benefits
Advocates of higher standard surprised at SEC official's comment
Current and ex-spouses don't have to share survivor benefits.
Pays fine, accepts suspension but B-D already closed, securities license dropped.
That's how a forensic accountant described the financial condition of superstar adviser Don DeWaay, who today agreed to a $3M settlement with investors.
Firm hires Craig Gordon, former head of clearing at RBC Capital, to lead the effort.
Cash-heavy since 2011, the affluent say they're ready to buy international stocks
The new SEC investor advocate establishes the narrative with story about his upbringing.
The agency changes course after Tax Court ruling; it will pull proposed regulation.
B-D regulator picks communications and gratuities &mdash; areas with plenty of complaints, questions &mdash; for initial focus.
Brokers and investment advisers aren't the only ones <br>who should take the heat for rollover activity
Although Roth IRAs have been available since 1997, changes to the U.S. tax code have made these retirement savings accounts more popular than ever, especially for affluent investors. Here, with apologies to the Bard, are some pointers.
<i>Breakfast with Benjamin:</i> All eyes are on earnings. Plus: The SEC discovers high-frequency trading, momentum takes out passive investors, AAA credit ratings becoming extinct, new love for emerging markets, six solid stocks to watch this week, overwhelmed at the IRS, and Switzerland votes for the world's highest minimum wage.
Broker-dealer mergers and acquisitions continue to sizzle as Sterne Agee Group agreed to acquire midsize independent broker-dealer WRP Investments.
Advisers agree investors need to stay calm and avoid knee-jerk selling.
<i>Breakfast with Benjamin:</i> Why investors are bracing for a rough start to the week. Plus: The SEC hones in on hedge funds, rethinking stock buyback programs, trading stocks on your phone, and using your phone to break bad habits
