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Assets up but revenue down for Schwab, TD Ameritrade
Low rates, unenthused DIY investors are to blame
A closer look inside TD’s executive shuffle
Tom Bradley is stepping down as president of TD Ameritrade Institutional to become president of the brokerage's retail business. The big question: Is he being groomed to succeed TD boss Fred Tomczyk?
Hartford offers wealth management boss Levenson $2M bonus to stay for 11 months
Hartford Financial Services has offered its head of wealth management, David Levenson, $2 million to stay on for another 11 months while it seeks a buyer for its life and 401(k) businesses.
Ex-adviser Allen pleads guilty to insider trading
Faces up to 57 months in prison after admitting in court that he betrayed his fiduciary duty to his employers by passing the tips to his friend.
<i>InvestmentNews</i> to launch ‘Next Gen’ virtual career fair
InvestmentNews will launch a strategic initiative designed to introduce college students and young professionals to opportunities in the financial advisory business.
Equity ownership: How and when to distribute
Of the myriad decisions faced by firms in today's market, none are more important or have longer-term implications than those surrounding the distribution of equity among existing and future owners.
Behringer Harvard client wants answers after seeing fund drop by 96%
An investor has seen her real estate investment with Behringer Harvard Holdings drop by 96% and she is appealing to Finra for answers.
DTCC names new boss
Bodson to take over at securities clearinghouse; Donahue retiring
No-action letter could signal next step for alts custody
A no-action letter that The Charles Schwab Corp. received last month from the Securities and Exchange Commission could…
Buffett’s NetJets countersued by U.S. for unpaid taxes
The government has countersued NetJets Inc., owned by Warren Buffett's Berkshire Hathaway Inc., after the company filed suit over $642.7 in taxes, interest and penalties it says it doesn't owe.
QB-turned-adviser goes RIA way
Southern California football star William Blanton — better known as Billy Blanton — has joined a new team.
Commission addiction limiting adviser breakaways: Survey
More than half of financial advisers at major financial firms like the idea of becoming RIAs, but many…
More rejiggering as RJ looks to gin up custody business
Van Law taking over operation, which will become stand alone unit; 'significant opportunities'
Breaking up is hard to do – especially with annuities
When a client came to his office bearing her new divorce decree, adviser Dale Russell became the bearer…
Schumer wants early fight on ending Bush-era tax cuts for top earners
Several top Senate dems believe they're in a stronger position now than in 2010 to go after Bush-era tax cuts for top earners
Affiliated Managers Group takes maiden wealth management stake with Veritable deal
The deal is the first wealth management acquisition for AMG, which owns stakes in 27 boutique money managers that have a total of $338 billion under management.
Merrill Lynch losing top advisers
Working under a recent mandate not to use certain alternative investments or to sign on new public-pension-fund clients,…
JOBS Act merits greater scrutiny
AS MUCH AS IT WARMS the cockles of our hearts to see House Republicans, Senate Democrats and President…
10 legislative and regulatory developments advisers need to know
Finra backs off social media regs, also aims to hike transaction fees; Congress extends payroll tax deduction - and a millionaires' tax continues to bounce back after multiple rejections. More on these recent developments and other key happenings on The Hill that will impact financial advisers.
SEC OK latest boost for alts clearing service
Commission gives thumbs up again to Alternative Investment Product
