Morgan Stanley Agrees to $2.6 Billion Mortgage Settlement
Other firms have agreed to spend $35-plus billion over issues tied to the '08 financial crisis
UBS Gets Behind Buckets
Even the most exemplary investment in theory, with high expected returns, doesn’t cut it if your goal is to pay a bill due next month.
SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs
A BD’s failure to file a required suspicious activity report “is, by itself, a basis for enforcement action,” SEC's Andrew Ceresney says.
12 Best & Worst Broker-Dealers: Q4 Earnings, 2014
Here’s how some of the biggest firms’ earnings compared over the fourth quarter.
Finding Your Client’s Place on the Efficient Frontier
Modern Portfolio Theory plays a role in academic finance, but for Dave Basten of API Funds, MPT plays a unique role in investment practice.
Dynasty Adds $800M Team From Morgan Stanley
Meanwhile, Raymond James grabs teams from Ameriprise and Baird and a rep from Edward Jones.
10 Best Websites for Financial Advisors: 2015
Dalbar’s quarterly review reveals which fund company sites offer advisor-specific and easily accessible content.
Stifel Moves to Buy Sterne Agee: Reports
The reported deal means Stifel could soon top 3,000 total advisors and $200 billion in client assets.
FINRA’s 5 Biggest Fine Categories in 2014
FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
The Unsinkable Sallie Krawcheck
Is Krawcheck weighing a robo-advisor offering? She remains tight-lipped on her plans, but tells ThinkAdvisor in a wide-ranging interview, "I'm not done yet!"