A trustee of a charitable foundation that helps poor people in Central America and Mexico has filed a civil case against Texas billionaire financier R. Allen Stanford.
Automated Compliance Solutions has unveiled compliance software for brokers, and AdviceAmerica Inc. has released a client relationship management solution.
The U.S. sued UBS AG today in an effort to get the Swiss bank to turn over the names of as many as 52,000 wealthy Americans who allegedly tried to evade taxes.
The steady migration of independent brokers to a fee-based model has created a large universe of advisers whose revenue is a mix of fees and commissions.
RolloverSystems has made WealthConnect, an education and financial planning tool, available to clients.
Massachusetts Secretary of the Commonwealth William F. Galvin filed a complaint today to revoke the securities registration of Cohmad Securities Corp.
When it comes to regulatory oversight of the hedge funds industry, it is no longer a question of if it will happen but when, according to industry representatives speaking today at a conference in Key Biscayne, Fla.
Three former brokers, who were first with UBS Financial Services Inc. and then with Merrill Lynch & Co. Inc., have been barred from working in New Jersey.
In this final week of a four-week program to get your business off to a solid start by focusing on retirement rollovers, let’s discuss effective retirement rollover seminars and how to do them on a limited budget.
T. Rowe Price has unveiled a web portal with tools that advisers and other firms can use to evaluate the asset manager’s mutual funds.
Gemini Fund Services will offer ReFlow Management’s redemption service to small and midsize mutual funds. The service will be integrated into Gemini’s transfer agency services, providing clients with direct access to the service.
Start by identifying your top five retirement services. These may include IRAs, Keogh plans, long term care insurance, retirement income reviews, referrals to estate planning attorneys, annuities and others.
The Depository Trust & Clearing Corp. is expanding the data its DTCC Deriv/SERV unit generates about credit default swaps.
It’s not easy to call and meet clients in light of the markets and the negative press from the Madoff scandal. But with clients receiving their December statements, this is no time to hide.
Charles Schwab has enhanced its StreetSmart Pro trading software and CheckFree Advantage Fee offers a local language feature.
What do you say to clients when their recent investment experiences have been traumatic and the outlook is uncertain, at best, and frightening at worst?
For many advisory practices, the technology focus will be making do with smaller budgets — and doing more with existing technology.
As December winds down, now is the perfect time to reflect on what you might have done differently in your practice since the financial world began unraveling earlier this year.
