Seeking Advisors’ Real Value; Generating High-Tech Leads: February Research—Slideshow
The February issue of Research magazine takes an in-depth look at what value financial advisors actually provide to their clients. Ellen Uzelac's feature article "Here's Your Lead Generation Machine" probes how technology is providing new ways to find and engage prospective clients. "A Broker Who Broke Bad" offers the story,...
A Broker Who Broke Bad
Serving nearly 400 days in federal prison wasn’t what Justin M. Paperny had in mind when he became a stockbroker fresh out of the University of Southern California, psychology degree in hand.
A lot of broker-dealers have invested in the retirement income space.
New Hire Roundup: Layton to Run Neuberger Berman Wealth Group; New SIFMA Board Member
This week in new hires, Neuberger Berman announced that Brian Layton would head its Boston wealth management group; Paul Gamble was promoted at Financial Engines; and SIFMA announced that Kim Tillotson Fleming was named to its board.
J.P. Morgan, Credit Suisse to Pay Combined $400 Million Settlement for RMBS Violations
The SEC alleges that J.P. Morgan misstated information about the delinquency status of mortgage loans that provided collateral for an RMBS offering in which it was the underwriter, while Credit Suisse similarly failed to accurately disclose its practice of retaining cash for itself from the settlement of claims against mortgage...
Time to Consider Alternatives to Money-Market Funds
They’ve been go-to funds for decades, but in recent years just about everything in the investment world has changed and money funds are no exception.
Recruiting Activity Gathering Steam As FAs Embrace Wide Range of Options
Many brokers continued to move between the wirehouses in the late summer and early fall.
The Top Wealth Managers 2012 Profiles: No. 1—Treasury Partners/HighTower
At No. 1 on the list of Top Wealth Managers: Treasury Partners/HighTower, an independent firm within a firm.
Lehman’s Lessons: News Analysis
The natural human tendency is to think that markets are about money, but a look back at the bankruptcy of Lehman Brothers should serve as a reminder that markets are fundamentally about morality.
Merrill to Pay Brazilian Heiress $3.6M
The case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.