SEC Closes 'Net Worth' Loophole
December 23, 2011 The Securities and Exchange Commission has closed a loophole that previously allowed individuals to artificially inflate net...

FINRA Hits Chase Investment Services with $3.6M in Penalties
November 15, 2011 The Chase unit recommended risky investments to unsophisticated investors with little or no risk tolerance, FINRA said.

Few Question Krawcheck's Viability, Opportunities Following B of A Ouster
September 9, 2011 Opportunities are certain to be abundant for Sallie Krawcheck, the former president of global wealth and investment management...

Ladenburg Seeks Broader Market Appeal with Deal
August 18, 2011 In agreeing to buy Securities America, Ladenburg Thalmann is hoping to leverage the target's large national network of...

Vanguard: Retiree Plans Rally
July 11, 2011 American workers lapsed into investing inertia after the market collapsed in 2008, but standing still actually benefited many...

The Hartford Rolls Out Principal, Income Guarantee Products
June 14, 2011 Hartford Financial Services Group is betting that enhancements to its VA suite will put it ahead of competitors in the race to...

LPL's Advisory Assets Up 16% Over Previous Year
April 27, 2011 LPL Investment Holdings posted strong first-quarter earnings, as a larger fleet of advisers got investors back into investing.

CFP Pushes Public Awareness
April 15, 2011 Certified financial planners are uniquely qualified to help Americans keep their finances in good stead, the CFP Board of...

Confidence Down About Retirement
April 8, 2011 Advisers have known for some time that Americans have lost confidence in their ability to afford a comfortable retirement, but...

High Technology Altering Client-Recruitment Methods
February 16, 2011 Technology is changing some of the tenets of client recruitment in the wealth management industry, even when the targets are...