FINRA Assumes Regulatory, Insider Trading Role for Options
Deal announced with CBOE and C2 Options exchanges will allow regulator to conduct cross-market surveillance on both options and equity insider trading.
FINRA Bars Ex-Broker for Stealing From Elderly Customer
Ex-Wells Fargo broker Jeffrey McClure was permanently barred from the industry for using nearly $89,000 in an elderly client's blank checks for his own expenses.
How Advisors Can Sell Without Being Pushy
Veteran coach Beverly Flaxington shares ideas from her new “Pocket Guide to Sales for Financial Advisors.”
Looking Ahead and Managing Change: 35 Years With Investment Advisor—Slideshow
This year is the 35th anniversary of Investment Advisor.
Tiger 21 Ultrawealthy Still Favor Stocks, but Private Equity Gains
Annual survey finds UHNW invest in what they know (like their own companies). Apple noses ahead of Berkshire Hathaway as top stock pick.
F-Squared Pays SEC $35M Fine to SEC for Misleading Performance Advertising
SEC says F-Squared's AlphaSector used back-tested performance data that mistakenly inflated results by 350%, not actual performance numbers.
Schorsch’s Issues Extensive but 'Isolated,' Says Nontraded REIT Expert
Most companies in the business are able to avoid such accounting errors and fallout, says exec at Robert Stanger.
Money Anxiety Index at 6-Year Low: The Implications for Advisors
Advisors who want a better grasp on financial confidence should be looking at what people actually do with their money, not just what they say.
GOP to Warren: That Dodd-Frank Rollback Was Just the Appetizer
The Republican sponsor of a measure easing a bank regulation is planning to pick new fights in 2015.
Meredith Whitney’s Fund Said to Drop 11% as Office Put on Market
Her American Revival Fund has lost money on electronics retailer Conn's Inc. and other poor bets, experts say.