The Securities and Exchange Commission has sued Gary R. Headding and his former registered investment adviser firm, Envision Direct of Newport Beach, Calif., for defrauding two clients of at least $274,256.
For the first time in Villere & Co.'s 99-year history, advisers will not be required to wear suits to the office Friday. Instead, reps and other workers from the New Orleans firm will don Saints jerseys in support of their hometown team's Super Bowl appearance Sunday against the Indianapolis Colts.
Apple Inc. today unveiled its long-rumored tablet, the iPad. Chief executive Steve Jobs, addressing a packed crowd of technology journalists and bloggers. referred to the device as something in the “middle” — residing in a “third category,” between high-powered personal computers and smart phones.
For months, a task force for the Financial Industry Regulatory Authority Inc. has been reviewing some of the major issues surrounding the professional use of social media in the financial services community – and now the self-regulatory organization has finally issued an overview of their guidelines.
A sports car worth nearly $2 million, an 87-foot yacht and a guitar collection worth as much as $20,000 were among the assets seized from a South Florida lawyer suspected of operating a massive fraud scheme, according to a court filing Monday.
Advisers have the opportunity, until Nov. 20, to make their voices heard on the Financial Industry Regulatory Authority Inc.'s broad proposal to change how it regulates financial advisory firms' communications with the public — a proposal that could address advisers' use of social media.
Why Dan Charles, executive vice president and managing director of Janus Capital Inc.'s U.S. institutional business and head of Janus Capital Group International, has departed remains unclear
Benjamin F. Edwards & Co. has hired former hockey star Blake Dunlop to run its newly opened St. Louis branch.
Recent studies have shown clients are considering moving assets or changing advisors. This month, we've been focused on rejuvenating your office and practice without breaking the bank
No doubt about it, social networking is one hot topic right now. Financial advisers, though, have been relatively slow to embrace sites such as LinkedIn and Twitter.
WealthTouch Inc., which offers a consolidated investment-reporting platform on the web for the wealth management industry, today announced that it has raised $11 million in private money to allow it to expand in Europe.
Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of former A.G. Edwards Inc. advisers and employees.
The Financial Planning Association is expected today to unveil a major research study on customer relationship management. ActiFi Inc., a financial services technology consulting firm, partnered with FPA in completing the 85 page comparative analysis of CRM packages available to the advisory market.
Financial advisers, pressed for time, increasingly are turning to podcasts to help them keep abreast of regulatory issues, management best practices and marketing trends.
Women who have recently lost a spouse may confront many changes in their daily lives and need financial support and advice.
During the worst of the market meltdown, surveys showed that three-quarters of high-net-worth investors were ready to jump ship and find a new adviser.
BrightScope Inc., a provider of 401(k) plan ratings, last week introduced an online tool that provides investors and financial advisers with personalized data about how much they are paying in fees in retirement plans.
