Investors Hope for 10% Return, Yet Shy From Risk: Natixis
Americans are mostly risk-averse yet expect aggressive returns on their investments in order to comfortably fund retirement, Natixis finds.
Fox Financial Planning Network Unveils ‘Intelligent’ Automation Software
New middleware platform acts as "connector, translator and processor" to streamline advisor workflows.
H.D. Vest Hires LPL Vet to Lead Marketing, Recruiting
Ruth Papazian will be chief marketing officer; Adi Garg to head information services.
Securities America Forms Arbor Point Venture for Hybrid Advisors
The independent broker-dealer is working with NorthStar Financial on the venture, which offers reps a choice of custodial firms.
SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges
The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.
The Jaws of Defeat
Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.
12 Best & Worst Broker-Dealers: Q3 Earnings
Earnings fell as much as 88%, but also jumped over 70% within the broker-dealer industry—AdvisorOne spotlights the six best and six worst performers.
Finding Financial Crisis Culprits; Selling Advisors Like iPhones: May Research—Slideshow
Research magazine's May cover story, "Finding the Culprits," focuses on derivatives expert Janet Tavakoli and her hard-hitting analysis of who and what caused the financial crisis.
New Hire Roundup: Putnam Welcomes Two; Securities America Promotes Belluomini
This week in new hires, Putnam Investments welcomed Charlotte Walsh and Greg Weissman, Michael Belluomini was promoted at Securities America, and John Kim and Chris Blunt took new positions at New York Life.
Fiduciary in Fact or Just Appearance?
Lessons that can be learned from the CPA’s standard to “maintain independence (in fact and appearance).