LPL Financial Promotes Compliance Chief to Managing Director
Sharyn Handlesman has been with the indie BD, which had regulatory charges of $36 million last year, since 2010.
Sustainable Investing Accounts for 30% of Managed Assets: Study
GSIA reported that global sustainable investing assets rose 61% over two years.
No, New Broker Rules Won't Strand Investors
In opposing DOL's proposed fiduciary rule on retirement advice, Wall Street is really arguing it would be too costly to provide non-conflicted advice. That's different from saying the rule would harm lower-income savers.
Are Investors Biased Against ‘Foreign Sounding’ Money Managers?
Study shows funds managed by people with more familiar, American-sounding names bring in about $133,000 more in fees annually.
Consumers Prefer Banks, Credit Unions to Brokerages 9 to 1
Investors who purchase investment products through their bank or credit union keep those products longer, an LPL study found.
Top Portfolio Products: ETF Securities, Zacks Launch 2 Funds
Russell Investments, Integral add execution service for foreign-exchange transactions.
Schorsch Retreats to Background While Meister Targets ARCP
The news comes as shareholder lawsuits hit sister company RCS Capital.
Schorsch Leaves Boards of RCS Capital, 12 Others
Nicholas Schorsch resigned from the boards of RCS Capital Corp., New York REIT Inc. and 11 nontraded REITs and direct investment programs.
The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
A Financial Planning Christmas Carol
A cautionary tale about the future of this profession. Beware, ghosts abound!