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TD Ameritrade profits up on thinkorswim buy
TD Ameritrade Holding Corp. said Tuesday its second-quarter profit jumped 23 percent thanks to its latest acquisition.
Is TD Ameritrade setting the stage to buy E-Trade?
E-Trade Financial Corp. shares surged late Wednesday after media reports fed speculation that rival online broker TD Ameritrade Holding Corp. could make a bid for the company.
Dear Mr. Buffett: Taxing millionaires is trickier than it sounds
Plenty of complications in ensuring the wealthy pay same percentage as middle-class earners; 'opening the door for tax lawyers'
Obama needs to restore optimism
WHEN ECONOMIES falter and markets plunge, when joblessness is pervasive and the whole world suddenly feels unhinged, Americans…
RIAs moving to fees — but will clients move with them?
Clear explanation will help ease fears, says analyst; still, some clients reluctant to pay for advice
J.P. Morgan to manage investments, distribute N.Y.’s adviser-sold 529 plan
J.P. Morgan Asset Management will replace Columbia Management Group as investment manager for New York's $1.9 billion adviser-sold college savings plan
Finalists announced for 2011 Community Leadership Awards
The awards, which will be presented Sept. 14, honor financial advisers who make a difference in their communities.
IRS to build database of regulated tax preparers
Taxpayers will be able to examine the qualifications of paid tax-return preparers in a database being built by the IRS that may be available as soon as 2013.
Family offices big on hedge funds: Survey
Typical family office invests more than a quarter of its clients' assets with hedge funds; share could be even larger
Trendspotting: Carlyle Group puts money into RIA Avalon Advisors
Is this a trend? Another private equity firm has invested in the RIA space -- and this time the buyer is the giant Carlyle Group.
Private funds to get public scrutiny — but family offices to get a pass
SEC vote requires hedgies, PE firms to register with commission; exemption granted for family offices
Two top Securities America advisers bolt for rival LPL Financial
'Stay bonus' be damned: LPL's gain is Securities America's loss as two top producers depart
Proxy ruling a caution signal for SEC
The recent appellate court decision rejecting an SEC rule on proxy access for shareholders was a signal to the commission to slow down its rulemaking and take more care in measuring the costs versus the benefits of any new rule
Investors Capital will subsidize FSI memberships for its advisers
The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp.
Spooked clients junk investments in high-yield bonds
Investors in junk bond funds withdrew $2.1B from the funds -- in a single day. As one portfolio manager sayd: 'There's clearly a panic going on in the market.'
Bank of America Merrill Lynch still on hiring roll
Bank of America Merrill Lynch has brought on six new financial advisers in Texas, Pennsylvania and California.
Brotherly Love? Philly RIA to return nearly $11M to clients
A Philadelphia registered investment adviser agreed to pay nearly $11 million for misappropriating funds from clients who were told their money would support socially conscious investments, while it really went to pay the adviser's debts and for other purposes, according to federal regulators.
Ron Carson announces adviser hire for new RIA firm
In a major hire for his new registered investment advisory firm, CWM LLC, Ron Carson has announced that well-known veteran investment adviser Rob Isbitts will become chief investment officer of the firm, which was launched July 1
Bold denies Mutual Fund Store up for sale, but sources say deal in the works
Despite denials by Mutual Fund Store founder Adam Bold, sources claim the giant RIA is on the block. One says the firm is being valued at around $300 million.
<b>Buzz:</b>’Significant’ rep exits at Securities America
The bleeding has started at Securities America Inc., as competitors are successfully recruiting reps from the beleaguered broker-dealer.
