SEC, FINRA Enforcement: 2 JPMorgan Traders Charged With Fraud Over London Whale Losses
The SEC charged the traders for lying about massive derivatives losses and also charged several microcap companies and stock promoters in penny-stock schemes.
States Improve Budget Decisions by Using Cost-Benefit Analyses, Study Finds
It might sound simplistic, but Pew-MacArthur study finds that using data to drive decisions improves performance.
Broker-Dealer INVEST Signs Equity Bank
INVEST currently supports 150 banks and credit unions and 1,100 representatives nationwide.
Is Your Practice Big Enough?
As merger interest rises, it’s more important than ever to know what your advisory practice is—and can be—worth.
Advisors, Start Preparing Now for the Post-Boomer World
After years of baby boomer-this and baby boomer-that, urgent attention is now being directed at next-generation wealth accumulators—and how best to serve their needs.
Top 10 Cheapest States for Long-Term Care Costs: 2013
Will you or your client be one of the 70% of people over 65 who will need long-term care? Genworth’s annual study on the cost of LTC indicates that if you are, you will be paying more for it this year.
The Advisor as Inspirer
How do you lead your employees, your clients, your life? Do you want to do a better job of it? Here are tips from top experts.
529 College Savings Plans: Never Too Late to Start
Late college saving is better than no college saving, says WSJ's Rosenthal.
National Advisors Trust Taps Former SEI Exec as CEO
James Combs Jr. hopes to further boost the RIA-owned trust's earnings, which have been growing in recent years.
Taxes and the States: Which Take the Biggest Bites?
Governments are always looking to tax, and in these states, you can expect to find steep taxes on wireless services, lottery winnings, property and more.