SEC Hits Merrill for $11 Million Over Faulty Short-Sale Orders
Two Merrill entities admitted to using inaccurate, old data when executing short-sale orders for customers.
Millennials: Ignore Them at Your Peril
Figuring out how to serve the now-largest of the generations is worth it, several advisors said in a recent discussion.
Sallie Krawcheck: Ellevating Leadership—The 2015 IA 35 for 35
Ellevate Network’s leader stresses the importance of women to management and to the industry.
On Economy, Wall Street Sulks as Main Street Exults
A new BofA Merrill report says go to cash while a broad-based sentiment survey shows small businesses feeling upbeat.
New Hire Roundup: SEC Names Grim Director of Investment Management
Meanwhile, Merrill has created a retirement income and investment team and a Mercatus fellow has been named chief economist for House Financial Services.
Merrill Boosts Retirement Focus, Promotes 2 Managers
A new group, led by Kirsten Hill and reporting to David Tyrie, aims to enhance Merrill Clear.
Hull to Replace Retiring Mulholland at UBS Wealth
In the first quarter, UBS Americas' nearly 7,000 reps top rival Merrill Lynch in yearly fees and commissions.
Beating Buy and Hold: A Thinking Man’s Guide to Market Timing
Investors have heard for ages that tactical strategies are a fool's errand. But the results of these high-caliber market timers speak for themselves.
Is College Still a Good Investment?
As costs rise and standards sink, helping clients get their educational money’s worth is a growing challenge.
SEC Investigates Bank of America for Doing Nothing
If you make it too obvious that your transaction is about getting around rules, that's the sort of thing that the SEC doesn't like.